- 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
- 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
- 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
- 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
- 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
- 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
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, Various Securities Exchanges, and other applicable regulatory organizations. +… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, MSRB, and other regulatory rules and regulations. + Adhere to… more
- OTC Markets Group Inc (New York, NY)
- OTC Markets Group Inc VP, Senior Investor Relations Success Manager - Corporate Services OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., ... of premier US financial marketplaces, is seeking a VP, Senior Investor Relations Success Manager to join our Corporate...Link ECN and OTC Link NQB are each an SEC regulated ATS, operated by OTC Link LLC, a… more
- City National Bank (New York, NY)
- *CLIENT SERVICE ASSOCIATE SENIOR CNS* WHAT IS THE OPPORTUNITY? Serve as a registered representative for City National Securities (CNS). Process stock, option, fixed ... process employee stock option trades and trades pursuant to SEC 10B5-1 Sales plans. * Work with National Financial...funds, margin accounts, and options required. * Knowledge of SEC and FINRA rules and regulations required. * Excellent… more