- 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
- Neuberger Berman (New York, NY)
- …NB Private Markets group. This role will report to the SVP and manage the SEC reporting and filings to ensure compliance, and will be involved in hiring, managing, ... board materials, marketing presentations, and other reporting + Monitoring compliance with the SEC and IRS regulatory tests in coordination with legal and tax teams… more
- Citigroup (Getzville, NY)
- …key OTC derivative reporting related regulations including Dodd Frank Title VII (CFTC/ SEC ), and Canada. The team is responsible for the NAM Swap/Security-based Swap ... solutions + Significant interaction with a wide range of senior bank and risk management colleagues, as well as...front/middle/back office Detailed knowledge of + CFTC SD and SEC SBSD and related global reporting regulations and associated… more
- Raymond James Financial, Inc. (New York, NY)
- …and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with ... senior business leaders to drive strategic initiatives while managing...risks associated with Capital Markets activities, ensuring adherence to SEC , FINRA, FRB Bank Holding Company, and state securities… more
- AON (New York, NY)
- …balance multiple client engagements, establish relationships with Compensation Committees and senior business leaders to generate revenue, and lead client teams in ... familiarity with corporate governance policies and trends, especially those related to SEC disclosure, ISS and Glass Lewis policies, and other technical areas… more
- Compass Group, North America (Rochester, NY)
- …based culinarians who specialize in changing the 'old-school' thinking about dining in a Senior Living or Behavioral Health community. Dining is one of the top two ... a regular cadence of communication and elevated levels of execution. + Each SEC leads the culinary strategy development and deployment for a designated group of… more
- MetLife (New York, NY)
- …The Opportunity This is a global leadership role that reports to the Senior Vice President of Technical Accounting, Internal Controls and External Reporting (ACE). ... exchange, pensions, stock compensation, mergers & acquisitions, goodwill, tax and SEC reporting and planning and projections. * Identifying and assessing technical… more
- Mastercard (Harrison, NY)
- …interpretations of accounting guidance and conclusions reached. May lead discussions with senior management in periodic and/or ad-hoc meetings. * Serve as a first ... used by executive management to present quarterly earnings results. * Review SEC reporting footnotes and disclosures involving activities of Corporate Treasury to… more
- Scotiabank (New York, NY)
- …to drive ambition for every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US Sales and Trading businesses by acting ... team leader for Markets Compliance. **What You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US sales and trading… more
- City of New York (New York, NY)
- …due diligence, such as reporting on financial information in accordance with the SEC and other federal, state and/or local finance laws. - Working closely with ... s financings, including but not limited to MSRB and SEC amendments. - Preparing and reviewing documents related to...Producing transaction documents under strict deadlines and working with senior New York City policymakers; - and - Assisting… more