- Citizens (New York, NY)
- …of the Citizens Consumer Bank. The Associate General Counsel will report to the Senior Associate General Counsel, Head of Wealth Legal and will be responsible for ... providing commercial and comprehensive legal guidance to senior management and the business generally supporting the entirety...from applicable state and federal regulators, including the OCC, SEC , and FINRA, and with the submission of required… more
- New York Times (New York, NY)
- …strategy and function of The New York Times Company, working closely with the Senior Vice President of Investor Relations (Head of IR) and senior leadership ... governance outreach during proxy season and throughout the year. + Collaborate with the SEC reporting and legal departments on the creation of 10Ks, 10Qs, and other… more
- Marex (New York, NY)
- …to work autonomously, and also as part of a team. Provide support to senior traders with orders. Marex has unique access across markets with significant share ... trade generating tools based on collateral analysis. + Assist Senior traders with order flow and bookings. + Back...Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +… more
- TIAA (New York, NY)
- …risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant. Compliance experience in these areas ... skills. + Prior experience working directly with regulators, such as the OCC, SEC , FINRA- + Ability to identify and implement effective risk assessment processes,… more
- Marex (New York, NY)
- …Preparing and presenting detailed risk reports / dashboards / metrics to senior management and stakeholders, highlighting key risk areas and recommended actions. + ... and effectiveness of controls and provide timely and in-depth analysis to Senior Management. This includes challenging management actions to remediate control gaps… more
- Marex (New York, NY)
- …+ Create and deliver high-quality presentations and briefing materials for senior executives, Board meetings, and governance committees. + Analyse financial and ... driving improvement. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the… more
- Western Digital (Albany, NY)
- …to technology, cybersecurity, IT governance, and systems implementation. Reporting to the Senior Director, IT Audit, this role will oversee and execute audits across ... + Stay informed on evolving IT regulations (eg, PCAOB, SEC , data privacy, etc.) and industry trends to enhance...and special projects as assigned by the CAE or Senior Director. Leadership & Development + Provide direction and… more
- M&T Bank (Buffalo, NY)
- …operations and activities for department responsibilities. + Coach and develop senior managers for a sustainable bench-strength and resource planning. + Advise ... accounting or equivalent experience at a major financial institution at senior manager/director level CPA/CFA certifications Experience in financial reporting and… more
- Mastercard (Harrison, NY)
- …assists in the review of reporting deliverables to assure compliance with SEC requirements - Assists with training and communication of new accounting pronouncements ... to VP, Technical Accounting - Assist in special requests from Senior Management for analysis, research, and detailed information, including other projects… more
- 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. ... issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade… more