- Neuberger Berman (New York, NY)
- …Fund Administrator responsible for the preparation of the quarterly financial statements, capital account statements, capital calls and distribution notices + ... hoc calculations + Review management fee calculations + Assist audit and tax professionals in year-end audit ...to answer LP questions + Various ad-hoc requests from senior management and portfolio managers + Assist with SEC… more
- TD Bank (New York, NY)
- …understanding of best practices from regulatory supervisors. + Escalate timely to senior management of errors, gaps, data quality issues, control breaks, KRI ... projects and initiatives, executes on ad hoc deliverable requests related to audit , compliance, transactional testing, examinations, etc. + Maintain and build upon… more
- TD Bank (New York, NY)
- …on short to medium-term issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate degree in Business ... and front-office decision-making. You'll work with Equities Sales, Trading, Research, senior management, and TDS Technology to develop data infrastructure and… more
- MTA (New York, NY)
- …to ensure diversity, inclusion and nondiscrimination; and the review, monitoring and audit of (The Agency's) policies and procedures to ensure compliance with local, ... rights (nondiscrimination) Programs. + Facilitate conversations with the Agency's executives, manager and staff to ensure that diversity and equal opportunity… more
- TD Bank (New York, NY)
- …) and regulatory requirements, requests, and expectations. **JOB DESCRIPTION** Reporting to the Senior Manager , Governance and Control, the Manager supports ... Business is adhering to internal (risk management, oversight function and audit ) and regulatory requirements, requests, and expectations. **Job Accountabilities:** +… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & ... creation. + Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity. + Communicate… more
- TD Bank (New York, NY)
- …are kept current + Assist in responding to internal and external audit requests + Prepare summaries, presentations, briefing notes, and other required documentation ... report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders + Participate in special projects… more
- TD Bank (New York, NY)
- …with US GAAP and IFRS. + Assist with external and internal audit requests, including reconciliations, document organization, and inquiry responses. + Improve data ... independently and collaboratively under tight deadlines. The VP, Specialized Finance Manager , TDS provides seasoned specialized knowledge, advice and/or guidance to… more
- Mizuho Corporate Bank (New York, NY)
- …confirmation, and allocation across derivative asset classes. + As an operations manager provide guidance and support to junior staff in preparing, monitoring, and ... internal stakeholders across the firm including Front Office, Legal, Audit and Finance. + As part of the PMC...talent development skills. + Ability to effectively communicate to senior stakeholders at the firm, both written and verbal.… more
- TD Bank (New York, NY)
- …+ Liaison with other Divisions, such as Compliance, Legal, Risk and Internal Audit as well as support regulatory interactions + Contributing metrics to Conduct Risk ... skills **Preferred Qualifications:** + 15+ years of experience in the capital markets industry with strong subject matter expertise in financial markets,… more