- 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 involves ... abreast of developments in SEC regulations and advising leadership on compliance needs * Overseeing all accounting functions, including general ledger, accounts… more
- TD Bank (Mount Laurel, NJ)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance… more
- Marex (New York, NY)
- …The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** TD Securities is seeking a highly experienced and strategic Senior...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
- OneMain Financial (Irving, TX)
- …for growth and professional development. **Key responsibilities include:** + Assisting our compliance with US Securities and Exchange Commission (SEC) reporting ... and timely filing of required documents. + Ensuring our compliance with Section 404 of the Sarbanes-Oxley Act (SOX...+ CPA or CPA candidate preferred + Experience evaluating compliance with SOX 404 + Advanced knowledge of Microsoft… more
- Robert Half Finance & Accounting (West Hollywood, CA)
- …financial operations, including budgeting, forecasting, and financial reporting. * Manage compliance with US Securities and Exchange Commission regulations and ... biotechnology or life sciences company. * Proven expertise in SEC reporting, compliance , and US GAAP standards. * Demonstrated ability to manage financial strategy… more
- Resideo (Charlotte, NC)
- …to the monthly close and external reporting processes, assist in ensuring compliance with SEC ( Securities and Exchange Commission) regulations, US GAAP ... as part of the monthly, quarterly and year-end close + Assist with ensuring compliance with SEC, US GAAP and Sarbanes Oxley regulations + Actively participate in the… more
- Wells Fargo (New York, NY)
- …TRACE, and other applicable FINRA, SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III,… more
- Manulife (New York, NY)
- …Based in New York City or Boston, the role of Chief Compliance Officer-Manulife Investment Management Private Markets Registered Funds and CQS (US), LLC ... Responsible for the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies, a business development company, and… more