• Senior Director, FP&A

    NBC Universal (New York, NY)
    …leaders + Experience in public accounting at the Big Four and experience with SEC reporting a plus + Experience with SAP Accounting/Business Warehouse and BPC ... on the SpinCo centralized Financial Planning and Analysis team, reporting to the Vice President with responsibility for planning,...three days per week. Subject to change based on Manager discussion or business need. This position is eligible… more
    NBC Universal (05/20/25)
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  • FICC Sales and Trading Compliance

    SMBC (New York, NY)
    …program. + Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring escalation. + ... point. + Coordinate with affiliates to address cross border issues, reporting requests and special projects. + Seeks operational efficiencies and automation… more
    SMBC (05/12/25)
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  • Senior Compliance Officer - US Markets Compliance…

    TD Bank (New York, NY)
    …have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team ... practice. + Knowledge of rules surrounding TRACE, MSRB RTRS Reporting and US Treasury Auctions + Identify key regulatory...with the ability to assess firm impact. Specifically, FINRA, SEC , CFTC, NYSE, FED and OCC. + Excellent oral… more
    TD Bank (04/30/25)
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  • Senior Compliance Officer - Fixed Income

    BMO Financial Group (New York, NY)
    …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... mitigate them. Develop and maintain compliance information for analysis and reporting . Achieve compliance goals by maintaining current knowledge of regulatory… more
    BMO Financial Group (05/15/25)
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  • AVP, Fixed Income Sales & Middle Office (Hybrid)

    Citigroup (Getzville, NY)
    The Sec & Derivatives Team Coordinator is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... transactions. **Responsibilities:** + Resolve escalations prior to going to a manager , by analyzing information in complicated and unique situations + Train… more
    Citigroup (05/15/25)
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  • Executive Admin Assistant III

    TD Bank (New York, NY)
    …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Physical Requirements:** Never: 0%;… more
    TD Bank (05/29/25)
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  • Vice President of Asset Management

    Conifer Realty LLC (Rochester, NY)
    …quarterly, and annual executive/investor level financial performance and watchlist reporting inclusive of reforecast considerations. + In coordination with ... required. + Strong knowledge of Multifamily Affordable Housing programs (HUD/ Sec 8/RAD, LIHTC, RD, HOME, PH, etc.) required. +...your resume. You will hear directly from the hiring manager on next steps in the process. Thank you… more
    Conifer Realty LLC (05/28/25)
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  • Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as… more
    TD Bank (05/22/25)
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  • Director, Sr Business Control

    Bank of America (New York, NY)
    …with opportunities to learn, grow, and make an impact. Join us! Position is reporting to the Head of Equity Business Controls. This individual will partner closely ... **Position Description:** + Understanding of US Equity Regulations, particularly SEC , FINRA, CFTC + Coordinate with IT to create...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
    Bank of America (04/09/25)
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  • Director, US Markets Compliance Advisory, TD…

    TD Bank (New York, NY)
    …rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC Rules, Trade ... Reporting , Etc. + Excellent oral and written communication skills....have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
    TD Bank (04/05/25)
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