- Vaco by Highspring (Stamford, CT)
- …structures, and capital markets transactions. Strong knowledge of US GAAP, regulatory reporting , and compliance in financial services. Exceptional leadership ... deep expertise in securitization, true lending practices, capital markets, and regulatory financial reporting . The CFO will play a pivotal role in optimizing the… more
- NatWest Markets (Stamford, CT)
- …to highlight concerns and remediate incidents. + Ensure preparedness for industry, regulatory , and internal change initiatives. + Identify and lead opportunities to ... re-engineer processes and controls from cost-saving, regulatory , and customer experience perspectives. + Implementation, maintenance, and monitoring of Service Level… more
- NatWest Markets (Stamford, CT)
- …satisfaction. + Partner with second line and project teams to deliver regulatory change and understand the impact across client operations processes, procedures, and ... + Lead first line response to all internal audits, external audits, and regulatory exams. **Conduct and Line of Defence** + Comply with Our Code, Purpose,… more
- NatWest Markets (Stamford, CT)
- …of the NWM supervision and control frameworks to mitigate conduct, operational, and regulatory risks + Prepares recurring and ad-hoc reporting for governance ... and current developments within the financial marketplace + Knowledge of regulatory expectations around the supervision framework and strong understanding of… more
- SMBC (New York, NY)
- …support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function coordination, governance and reporting . ... Change Management + Compliance Alerts and other Communications Governance and Reporting : The Regulatory Governance Team is responsible for producing management… more
- SMBC (New York, NY)
- …will transform and drive transparency in SMBC Americas Division's senior management and regulatory reporting on forecasts and actuals. The VP will work with ... driving execution of semi-annual strategic planning and monthly management reporting , quarterly Board and regulatory reporting and ad hoc reporting … more
- DWS Group (New York, NY)
- …and processes. Assist in tracking/management of annual tax returns/1099s/K-1's, regulatory reporting requirements and loan compliance requirements. Collaborate ... is a wholly owned subsidiary of DWS. IAO is responsible for the financial reporting and certain operational aspects for investment vehicles to be launched as part of… more
- Vaco by Highspring (Westport, CT)
- …Responsible for managing daily accounting operations, ensuring financial accuracy and regulatory compliance, and supporting institutional reporting and audits in ... external audits, tax filings (eg, IRS 990/990-T), and NCAA financial reporting . Maintain internal controls, develop financial policies, and ensure Uniform Guidance… more
- Neuberger Berman (New York, NY)
- …applications, updating licenses, overseeing terminations, state registrations, and related regulatory reporting . **Key Responsibilities:** + Review and complete ... day-to-day processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and current employees… more
- DWS Group (New York, NY)
- …efficiency and processes. Assist in tracking/management of annual tax returns/1099s/K-1's, regulatory reporting requirements. We are looking for: Minimum of ... launch process from an accounting perspective, ensuring relevant accounting and reporting systems are set-up. Primary contact of select investment vehicles, which… more
- The Calyx Institute (New York, NY)
- …compliance between Calyx and awarded applicants, regarding contracts, legal and regulatory issues, deliverables, reporting , payment, etc.; and maintaining clear ... messaging. In collaboration with the finance team, ensure proper compliance and reporting for all grant recipients. Coordinate and oversee the selection panel… more
- SMBC (White Plains, NY)
- …Finance or relevant discipline is preferred + Knowledge of Canadian and EMEA reporting , regulatory systems + Strong analytical, critical thinking and problem ... staff members + Prepares or verifies daily reports in compliance with regulatory requirements (Dodd-Frank, EMIR, Canada) + No approval authority + Documents… more
- SMBC (New York, NY)
- …and Finance to align vendor services with business needs. - Support audits, regulatory exams, and internal reporting related to vendor oversight. Continuous ... is critical in ensuring that vendor relationships align with business goals, regulatory requirements, and risk management standards. The ideal candidate will bring… more
- HSBC (New York, NY)
- **Description** **Litigation, Regulatory Enforcement and Investigations (LREI), HSBC Technology & Services (USA) Inc., New York, NY:** Provide strategic support to ... the fast-moving Generative AI landscape. Consolidate and automate global litigation reporting . Build strategic outsourcing models for the team including building… more
- SMBC (New York, NY)
- …concepts (VaR, stress-testing, and counterparty exposure estimation, documentation and reporting approaches). - Understand regulatory requirements applicable to ... of risk oversight processes across SMBC entities. This includes committee governance, regulatory and audit engagement, and issue management. The VP is responsible… more
- Stony Brook University (Stony Brook, NY)
- …+ Prepare data summaries for sponsor and federal audits to ensure regulatory compliance. **Scientific Writing, Reporting , and Documentation:** + Prepare project ... findings. **Preferred Qualifications:** Experience in clinical research operations and regulatory compliance. Prior experience working in an academic medical center… more
- InterSources, Inc. (New Rochelle, NY)
- …Months Contract Position Requirements: The Nursing Home Program is responsible for regulatory activities related to health care facilities. Some of the many program ... care facility surveillance and complaint incidents and investigation correspondence and reporting ; familiarity and knowledge of the ASPEN System, Health Commerce… more
- InterSources, Inc. (Syosset, NY)
- …all software usage complies with licensing agreements, company policies, and regulatory requirements. Procurement: Assist in the acquisition of new software licenses ... data to identify opportunities for cost savings and efficiency improvements. Reporting : Generate regular reports on software asset inventory, usage, and compliance… more
- SMBC (New York, NY)
- …part of SMBC Americas' strategy to build a commercially competitive, US regulatory -based Commercial and Investment Bank, SMBC Americas Division has launched an ... understanding of data management principles, and the ability to navigate complex regulatory and control environments. The role will manage end-to-end delivery for… more
- NorthMark Strategies (New York, NY)
- …reporting , supporting continuous improvement and cost containment. Monitor regulatory developments impacting insurance and risk transfer programs, ensuring ... compliance and best practices. Prepare and present data-driven reports and recommendations to department leadership and other stakeholders. Contribute to knowledge sharing and professional development within the COE, building organizational expertise in both… more
