• Head of SEC Reporting

    Coinbase (Albany, NY)
    …related conclusions. * Minimum 10+ years of relevant experience. Current or recent senior -level SEC reporting experience is required. * Combination of private ... Job Duties)* * Lead the preparation of all quarterly and annual filings with the SEC , in accordance with US GAAP and SEC regulations, including preparation of… more
    Coinbase (08/09/25)
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  • Deputy Chief Compliance and Risk Officer,…

    HUB International (New York, NY)
    …compliance, and strategic business initiatives. + 10+ years' experience as a senior SEC regulatory compliance professional for either a large financial ... position is supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy… more
    HUB International (08/21/25)
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  • Senior Director, Investor Relations

    AON (New York, NY)
    Aon is seeking a Senior Director of Investor Relations. This senior leadership role is critical in supporting Aon's commitment to transparent and strategic ... community. Reporting directly to the Global Head of Investor Relations, the Senior Director position is a strategic and high-impact role with direct engagement… more
    AON (08/22/25)
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  • Senior Counsel - Sr AVP-CIB Global…

    Wells Fargo (New York, NY)
    **About this role:** Wells Fargo is seeking a Senior Counsel in the Corporate Investment Banking (CIB) Regulatory Legal and Governance Section of the Legal ... be a mid-level attorney who will work closely with senior attorneys to support the desk on a range...onboarding, lifecycle events, inquiries related to trading strategies, and SEC exam preparation. The position also involves collaborating with… more
    Wells Fargo (08/22/25)
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  • Regulatory Reporting Senior Analyst…

    Citigroup (Getzville, NY)
    **Key Responsibilities:** + The role focuses on but is not limited to SEC Rule 613 Consolidated Audit Trail (CAT), Large Option Position Reporting, Blue Sheet ... team + Prepare and analyze regulatory reports pursuant to SEC , FINRA, and CFTC rules & regulations. + Perform...communication skills and ability to facilitate discussions (including with senior management) + MS office (Excel, Access, Visio, Word,… more
    Citigroup (08/02/25)
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  • Regulatory Reporting Senior Analyst…

    Citigroup (Getzville, NY)
    The Regulatory Reporting role is a senior analyst position within the CGMI Segregation Oversight team, which is responsible for executing daily controls to mitigate ... the inherent risk of non-compliance with the SEC 's Client Asset Protection rule (15c3-3), a Tier 2...This is deemed a Financial Responsibility rule by the SEC , requiring an annual attestation by CGMI's executives CEO,… more
    Citigroup (07/19/25)
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  • Accounting/Financial Reporting Senior…

    RELX INC (New York, NY)
    …Team Intelligize is the leading provider of analytical tools for SEC compliance (external reporting) and transactional (IPOs, M&A) professionals. Intelligize offers ... Are you a technical accountant with deep expertise in SEC disclosure requirements and a growing passion for solving...in disclosure research and workflow tools, is seeking a Senior Product Manager II to lead our Accounting &… more
    RELX INC (07/04/25)
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  • Regulatory Reporting Senior Analyst…

    Citigroup (Getzville, NY)
    …regulation and industry practice + Manage and oversee BAU processes for CFTC, SEC and CAD Regulatory Reporting, ensuring all reporting is completed accurately and on ... of contact for NAM regulations, including: CFTC, CAD, and SEC + Ensure REG Ops's procedures and controls adhere...tenacious + Ability to create and deliver presentations to senior levels of management + Ability to work under… more
    Citigroup (07/02/25)
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  • Compliance Testing Senior Manager, Swap…

    Scotiabank (New York, NY)
    Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the ... to support compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations, including cross-border… more
    Scotiabank (06/06/25)
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  • Senior Manager, Capital Markets Governance…

    BMO Financial Group (New York, NY)
    Our ideal candidate has a SEC /FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker ... dealer operations and SEC /FINRA regulations. If you have dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this might be the… more
    BMO Financial Group (07/09/25)
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