- Marex (Chicago, IL)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Senior Relationship Manager is responsible for managing and growing ... Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +...any breaches of policy to Compliance and/ or your supervisor as required. + To escalate risk events immediately.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …operations * Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority (FINRA); and state securities regulatory ... organizational levels. * Work effectively with Financial Advisors as their sales supervisor and enforce company policies and procedures as necessary. * Establish and… more
- Walworth County (Elkhorn, WI)
- …Corporation Counsel and Public Works. SUPERVISION This position directly supervises the HS Supervisor - Fiscal Support, HS Supervisor - Compliance and Medical ... Records, HS Supervisor - Economic Support, HS Supervisor - Economic Support Lead, and Administrative Clerk III...state in a timely manner. In conjunction with the Senior Accountants, oversee all departmental fiscal processes and financial… more
- New Jersey Resources (Wall Township, NJ)
- …Research technical accounting and financial reporting requirements promulgated by the FASB, SEC , AICPA, FERC and other standard setting bodies. * Actively monitor ... and perform other accounting impact studies as required or requested by Senior and Executive Management or by other departments for business planning and… more
- Raymond James Financial, Inc. (Denver, CO)
- …* Takes on complex and extensive projects outside of regular duties for Senior Management * Assists other reviewers/cross trained in other departmental reviews * ... knowledge of investments, trading, annuities, insurance products, and related regulations ( SEC , FINRA, FDIC, state and federal). + Understanding of suitability and… more
- Tractor Supply Company (Brentwood, TN)
- Sr. Accountant **Overall Job Summary** The Senior Accountant will be responsible for leveraging advanced technology, automation, and modern accounting practices to ... and reporting enhancements. With a focus on large data sets, the Senior Accountant will ensure data integrity and leverage automation to streamline financial… more
- Lilly (Indianapolis, IN)
- …order to be considered. When applying internally for a position, your current supervisor will receive notification that you have applied to the position. We ... encourage employees to discuss the opportunity with their supervisor prior to applying. **Position Description:** This professional position is in the Pension… more
- Truist (Charlotte, NC)
- …States of America) **Please review the following job description:** Provide senior -level leadership and coordination of financial analysis and performance reporting ... reporting related to the Bank's and LOB's financial performance and/or regulatory/ SEC requirements. 4. Coordinate profit plans and monthly forecasts with Funds… more
- Marex (New York, NY)
- …in order to meet CEO reporting requirements and will also work closely with senior leaders and stakeholders across the business to help drive informed decisions on ... Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other applicable exchanges. +...any breaches of policy to Compliance and/ or your supervisor as required + To escalate risk events immediately… more
- Guardian Life (Bethlehem, PA)
- …and supportability of general ledger balances to support attestation to senior management. + Implement new products and administration systems within timeline ... established by senior management. Perform user acceptance testing of these product/system...and provide assistance for MAR, internal and external auditors ( SEC , NASD, Delaware State, New York State, and Independent… more