- Citigroup (New York, NY)
- **Overview:** The Head of SEC & Financial Reporting is a senior role within the Controllers Organization that will report to the Citi Controller and ... integral member of the Controllers Leadership team. The Head of SEC & Financial Reporting is primarily responsible for the completeness and accuracy of… more
- Marex (New York, NY)
- Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients ... in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing,… more
- BMO Financial Group (New York, NY)
- …policies and standards. This position has an enterprise mandate for BMO Financial Group across all jurisdictions and legal entities that BMO operates. Leads ... & Compliance Training which impacts all BMO employees. Leads the Compliance quarterly reporting process to BMO's Audit and Conduct Review Committee of the Board of… more
- SMBC (Jersey City, NJ)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA; in addition to other US regulators… more
- Justworks (New York, NY)
- …presents a significant opportunity to (i) execute major integrated, operational and financial audits, SOC and SOX reviews, and special projects; (ii) offer solutions ... guidance for compliance with Sarbanes-Oxley (SOX) regulations. + Lead the operational/ financial audit team as the management advisor and independent auditor for… more
- CIBC (New York, NY)
- …JOB PURPOSE Compliance Examination Manager for Capital Markets/Broker-Dealer/Swap Dealer Reporting to the Head of US Compliance Examination ... evaluate compliance with related laws and regulations + Solid understanding of FINRA, SEC and NYSE rules and regulations and the inherent compliance issues facing… more
- Scotiabank (New York, NY)
- …broker-dealer, banking, investment management activities, corporate functions, and other financial services activities. The primary responsibility of this position ... + Lead Testing and Monitoring reviews through the planning/scoping, fieldwork and reporting phases. + Escalate potential issues and exception items noted during the… more