• Senior Compliance Officer - Surveillance,…

    TD Bank (New York, NY)
    …issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate ... regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns...data quality issues. Support the Data Quality Director in reporting on data quality issues. The Senior … more
    TD Bank (09/17/25)
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  • Senior Registration Analyst

    Neuberger Berman (New York, NY)
    Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration ... updating licenses, overseeing terminations, state registrations, and related regulatory reporting . **Key Responsibilities:** + Review and complete pre-hire Workday… more
    Neuberger Berman (09/09/25)
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  • Senior Director, Head Exec Comp, Equity…

    NBC Universal (New York, NY)
    …2025, subject to the satisfaction of customary conditions. Position Summary: The Senior Director, Head Exec Comp, Equity & Mobility leads Versant's executive and ... structures + Partner with Finance and HR Ops to ensure proper tracking, reporting , and administration of equity plans + Maintain equity policies, LTI eligibility… more
    NBC Universal (09/13/25)
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  • Compliance Business Oversight Manager

    TD Bank (New York, NY)
    …initiatives as needed** **Job Summary:** The **Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence and risk management within ... a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of… more
    TD Bank (09/24/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Albany, NY)
    …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 ... branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in...Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a… more
    Guardian Life (09/10/25)
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  • Manager , Accounting

    Mastercard (Harrison, NY)
    …used by executive management to present quarterly earnings results. * Review SEC reporting footnotes and disclosures involving activities of Corporate Treasury ... as a key contact with respect to accounting, financial reporting and internal control for Mastercard's Corporate Treasury department....degree or Master's in Accounting * CPA required * Senior Associate/ Manager or equivalent experience at a… more
    Mastercard (08/08/25)
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  • Senior Compliance Officer - Fixed Income

    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
    BMO Financial Group (09/22/25)
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  • Manager Controller

    American Express (New York, NY)
    …Accountant or similar qualification, preferred. + Prior Regulatory/Federal Reserve/ SEC /External Reporting and banking/financial services experience preferred. ... How will you make an impact in this role? Manager - Basel Endgame, Documentation and Controls. Global Regulatory... - Basel Endgame, Documentation and Controls. Global Regulatory Reporting and Treasury Controllership is part of the Global… more
    American Express (09/19/25)
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  • Management Development Program - Controller's…

    M&T Bank (Buffalo, NY)
    …The Financial Reporting team within the Controller's department is responsible for SEC and Subsidiary reporting as well as the monthly financial close ... data visualization or data querying tools (eg, Tableau, SQL) + Familiarity with SEC and bank regulatory reporting + Understanding of internal control frameworks… more
    M&T Bank (09/06/25)
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  • Operational Risk Manager

    Marex (New York, NY)
    …www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Operational Risk Manager is responsible for assisting the Firm in identification, ... and related control gaps. + Governance: Contribute in and create reporting materials for governance forums, ensuring comprehensive oversight and identification of… more
    Marex (09/10/25)
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