- TD Bank (New York, NY)
- …of new and complex regulatory and compliance developments across senior function/business/product, including cross-border impact. + Participate in industry groups ... and regulations with the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, and OCC. + Excellent oral and written communication skills. +… more
- Mizuho Corporate Bank (New York, NY)
- …on compliance technology initiatives, project status, and key outcomes to senior management. Qualifications: + Education: Bachelor's degree in IT, Computer Science, ... compliance technology. Deep understanding of financial regulations and industry standards ( SEC , FINRA, GDPR, etc.) Key Outcomes: + Improved compliance monitoring and… more
- Neuberger Berman (New York, NY)
- …requests from senior management and portfolio managers + Assist with SEC or other regulatory compliance as required **Qualifications** : + Bachelor's or higher ... degree in Accounting or Finance + Strong understanding of accounting theory and fund accounting and financial reporting + 5 - 8 years of accounting/finance experience; CPA a plus, but not required + Experience with credit related products, including loan… more
- Amazon (New York, NY)
- …and institutional securities - Serve as trusted technical advisor to senior technology leadership and C-suite executives, leading technical and business strategy ... engines, core banking platforms) - Ensure solutions meet stringent regulatory requirements ( SEC , FINRA, OCC, Fed) and industry standards - Drive adoption of advanced… more
- MetLife (New York, NY)
- …GTO strategy -- Business Units, Global Operations, Application Development, Info Sec , Data and Analytics and Infrastructure. Key Responsibilities: Data Architecture ... and pilot emerging data technologies Key Relationships: Key Stakeholders: Senior Solution Architects, Global Governance Partners (Data & Analytics, Security,… more
- Sprinklr (NY)
- …CEO, and executive leadership on regulatory strategy, and partner closely with senior leadership across the Company to achieve business goals that follow the ... andmaintaina comprehensive compliance programappropriate foramultinational SaaS public company,aligned with SEC , SOX,data privacy and protection, anti-briberyand anti-corruption, OFAC and… more
- Unity Technologies (New York, NY)
- …teams and interact with all levels of the business. This role reports to the Senior Vice President, Chief Legal Officer of Unity, and will be located in our San ... including: + Lead Unity's public company compliance obligations including preparing SEC disclosure documents, including periodic and current reports, and proxy… more
- Guardian Life (New York, NY)
- …Assist in the preparation of required regulatory filings. Collaborate with and assist senior personnel within Law, Compliance, and PAS business areas to perform high ... **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a familiarity of state insurance… more
- Oracle (Albany, NY)
- …Microsoft Azure, Google Cloud). + Demonstrated ability to dive deeply into SEC filings and other financial disclosures, distilling meaningful insights based on a ... + Ability to communicate complex ideas clearly, both in writing and verbally, to senior stakeholders. + Demonstrated ability to work independently and as part of a… more
- American Express (New York, NY)
- …key findings, trends, and root causes for presentation to senior Finance leadership. Direct cross-functional transformation projects within Finance, including ... regulatory expectations and supporting compliance and audit processes, such as SEC , OCC and FRB; designing quality assurance reviews and testing protocols;… more