- Broadridge Financial Solutions (New York, NY)
- …other pivotal market transactions, ensuring timely, accurate, and compliant delivery of SEC filings and other critical communications. We are looking for a ... requests for document composition, proofreading, editing, and production of SEC filings (including prospectuses, proxy statements, and other financial disclosures)… more
- 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 ... processes and technologies + Help develop the firm's CAT support operating model + Review exception reports for the...team + Prepare and analyze regulatory reports pursuant to SEC , FINRA, and CFTC rules & regulations. + Perform… 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...day one - for yourself and our customers. We'll support you with the tools and resources you need… 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 ... About the Role Are you a technical accountant with deep expertise in SEC disclosure requirements and a growing passion for solving complex user problems through… more
- JPMorgan Chase (New York, NY)
- …as regulators, including the US Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority (FINRA) and other Self-regulatory organizations ... issues involving equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO rule interpretations, technology and operational issues, and… more
- Warner Music Group (New York, NY)
- …consolidated financial documents (eg 10-K, 10-Q, etc.) in line with US GAAP and SEC reporting requirements + Assist in ensuring compliance with all applicable SEC ... the quarterly and annual US GAAP disclosure checklist + Support in preparing the annual 401(k) plan financial documents...financial systems and software + Entry level knowledge of GAAP/ SEC accounting and reporting. + Proficient with MS office… 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, ... presentations, and other reporting + Monitoring compliance with the SEC and IRS regulatory tests in coordination with legal...mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats… more
- Citigroup (Getzville, NY)
- …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 US regulation. This is ... deemed a Financial Responsibility rule by the SEC , requiring an annual attestation by CGMI's executives CEO,...metrics associated with reports to identify challenges and issues. Support implementation of processes and controls to mitigate the… 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 ... gaps + Act as point of contact for NAM regulations, including: CFTC, CAD, and SEC + Ensure REG Ops's procedures and controls adhere to Citi's Global Risk & Control… more
- Evolent (Albany, NY)
- …for the culture. **What You'll Be Doing:** Evolent is seeking a dedicated Application Support Analyst to join our team. In this role, you will be responsible for ... troubleshooting production support issues reported by our clients. You will collaborate...preferred **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required… more