- Mizuho Corporate Bank (New York, NY)
- …technology solutions, and ensuring effective implementation and maintenance of compliance systems . The ideal candidate will collaborate with stakeholders to gather ... ensure regulatory alignment. Responsibilities include developing and enhancing compliance systems such as case management, regulatory reporting, and surveillance… more
- EPAM Systems (New York, NY)
- …workflows. The ideal candidate brings a strong background in financial systems , hands-on Mendix expertise, and proven experience leading development teams in ... real-time data processing + Security, compliance, and auditability within financial systems + Excellent communication and stakeholder management skills **Nice to… more
- Robert Half Finance & Accounting (Westbury, NY)
- …significant focus on financial reporting and Securities and Exchange Commission ( SEC ) compliance, this position also involves managing accounting processes in ... complex corporate environments. Responsibilities: * Ensuring timely and accurate filings of SEC periodic reports (10-K, 10-Q, 8-K) in accordance with US Generally… more
- NBC Universal (New York, NY)
- …responsible for providing support for all board matters, legal entity management, SEC filings and shareholder meetings. Essential Responsibilities: + Work as a ... maintenance, including maintaining the accuracy of the company-wide entity management system ; organizing and maintaining minute books; drafting Board of Directors… more
- Vail Resorts (NY)
- …of professionals with responsibilities including Vail's Securities and Exchange Commission (" SEC ") reporting under US GAAP, administration and accounting for the ... Financial Reporting will: + **Drive** : Manage all external SEC financial reporting and filings, including the 10-K and...: Develop and maintain a thorough knowledge of the systems and processes related to all areas of responsibility.… more
- Mizuho Corporate Bank (New York, NY)
- Asset Management One USA Inc is a New York-based asset manager ( SEC registered investment adviser and CFTC registered CTA/CPO) with approximately $ 7 b under ... + Assist with regulatory compliance, including filings of regulatory forms (NFA/ SEC ) + Assist with investor reporting preparation and ad-hoc reporting requests… more
- Scotiabank (New York, NY)
- …the business as usual execution of the CFTC Swap Dealer, SCUSA FCM, and SEC + Security-Based Swap Dealer ("SBSD") compliance programs, + advisory coverage of the ... culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. + Provide training and education to make employees… 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,...locations on a timely basis; monitor that the firm's trade/ system flows are operating within the confines of this… 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...Supports the development, evolution and maintenance of the governance system and framework. + Coordinates the management of databases;… more
- Warner Music Group (New York, NY)
- …of financial systems and software + Intermediate level knowledge of GAAP/ SEC accounting and reporting. + Proficient with MS office (Excel, PowerPoint and Word) ... (10-K, 10-Q, etc.) in accordance with US GAAP and SEC reporting requirements. + Ensure compliancewith all applicable ...SEC reporting requirements. + Ensure compliancewith all applicable SEC and other reporting regulations + Become a superuser… more