- Guardian Life (Albany, NY)
- …on other department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations ... you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... mitigate them. Develop and maintain compliance information for analysis and reporting . Achieve compliance goals by maintaining current knowledge of regulatory… more
- CIBC (New York, NY)
- …responsible for 1) advising CIBC's global Swaps OTC Derivatives businesses on CFTC, SEC , and NFA rule requirements, as well as CIBC's Global Markets employees on ... the technical aspects of rules for the SEC Security Based Swaps Dealer and the CFTC Swap...to swaps implemented under the Dodd-Frank Act (eg real-time/SDR reporting , large trader reporting , external business conduct… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... + Prepare expense budgets, analyze expense calculations, and prepare unaudited financial statements + Ascertain fund value and allocate values to each… more
- Robert Half Finance & Accounting (Westbury, NY)
- …strategic financial goals. With a significant focus on financial reporting and Securities and Exchange Commission ( SEC ) compliance, this position also ... with reporting requirements * Providing analysis and insights to senior management on financial performance, including budget variance explanations, revenue… more
- TD Bank (New York, NY)
- …Management TDS is responsible to provide the leadership team with information, reporting and support to ensure Trading operational risks are appropriately managed ... to medium-term issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Core Accountabilities:** Scope of Supervision accountabilities cover… more
- Arrow Financial Corporation (Glens Falls, NY)
- …perfect for you if you have experience in: > Operational Accounting > Financial Reporting About this position: Oversee the Company's operational accounting and ... financial reporting functions, including Sarbanes-Oxley Act of...designation preferred > 10 years of experience in an SEC registrant financial institution accounting department or… more
- TD Bank (New York, NY)
- …that Principal associated directly with the BD/RIA be responsible and accountable for all financial reporting associated with and/or required by FINRA or the ... with HR and Finance to ensure alignment across job families, entitlements, and financial & regulatory reporting . **Depth & Scope:** + Provides people management… more
- Citigroup (New York, NY)
- …and other financial compliance requirements pertinent to DR services. **3. Financial Accounting & Reporting ** + ** Financial Statements:** Ability to ... ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate with internal… more
- Raymond James Financial, Inc. (New York, NY)
- …understanding of risk-related regulatory requirements (eg, OCC, FRB, FDIC, SEC , FINRA) and ability to apply data analytics to risk reporting and risk mitigation. ... data and analytics of RJF Risk Management across all financial and non- financial risk stripes. Drive development...with significant business impact to multiple Raymond James' subsidiaries. Reporting to the SVP of Risk Data & Analytics,… more