- Robert Half Finance & Accounting (Houston, TX)
- …degree a plus, 2 plus year's investment banking with working knowledge of SEC requirements or 3 plus year's public accounting or transaction advisory experience with ... SEC clients, a mastery of Microsoft Excel, can demonstrate...+ Experience in investor relations, finance, or similar functions preferred . + Strong proficiency with Microsoft PowerPoint and CRM… more
- Navy Federal Credit Union (Richmond, VA)
- …and execution in accordance with NFFG process and procedures and FINRA, NASAA, SEC regulations + Conduct review of accounts to communicate account status, explain ... processes comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies + Prepare standard/special reports...or 66 registration required. Life & Health Insurance License preferred (or the ability to obtain within 90 days… more
- KeyBank (Cleveland, OH)
- …for the broker-dealers within KeyCorp on a daily basis in accordance with the SEC and FINRA Rules and guidance. + Generate regulatory reports for broker-dealers to ... be filed with the SEC and generate supporting schedules to be incorporated into...be able to obtain such licensure within one year. ** Preferred Skills:** Proficient in Microsoft Office Suite (Excel, Word,… more
- Medtronic (Minneapolis, MN)
- …Counsel by overseeing the preparation, management and oversight of Medtronic's SEC filings, including periodic reports, current reports, proxy statements, Section 16 ... of periodic reports and other filings required by the SEC and the NYSE, including registration statements, Forms 10-K,...of respected law firm and in-house experience is strongly preferred . + Must be proficient with Microsoft Office, including… more
- Deloitte (Atlanta, GA)
- …aspects of an IPO/ SPAC, such as: + Assess public company readiness + SEC reporting requirements + Technical accounting matters + GAAP conversion from or into ... of the financial disclosures including assisting with the preparation of SEC documents + Services implementing corporate governance structures, streamlined close,… more
- SpaceX (Hawthorne, CA)
- …+ Regulatory Compliance and Advisory: Monitor evolving regulatory landscapes (eg, SEC rules, PCAOB standards) and ensure the internal audit function supports ... lead, or management role. + Experience managing SOX compliance programs for SEC filers. + CPA (Certified Public Accountant). + CIA (Certified Internal Auditor).… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …compliance with DCAA and DFARS regulations. * Manage financial reporting processes, including SEC reporting and adherence to SEC regulations. * Implement and ... with DCAA and DFARS. * Strong expertise in financial reporting, including SEC regulations and SOX compliance. * Experience working with federal government contracts… more
- Capital One (New York, NY)
- …around the monitoring of trading activity, and ensure ongoing compliance with SEC , FINRA, CFTC, and NFA regulatory requirements. The ideal candidate will bring ... Support** + Support internal audits and regulatory examinations and inquiries ( SEC , FINRA, CFTC, NFA), including documentation of responses and remediation efforts.… more
- Deloitte (Columbus, OH)
- …aspects of an IPO/ SPAC, such as: + Assess public company readiness + SEC reporting requirements + Technical accounting matters + GAAP conversion from or into ... of the financial disclosures including assisting with the preparation of SEC documents + Services implementing corporate governance structures, streamlined close,… more
- Vanguard (Malvern, PA)
- …+ Investment Company Act of 1940 expertise required. + Alternative funds experience preferred . + Strong working knowledge of SEC regulations, fund governance, ... with third parties, including government agencies such as the SEC . + Direct and manage outside counsel on complex...and products, and industry best practices. Stay current on SEC guidance, rulemaking, and enforcement trends. + Mentor junior… more