- Grant Thornton (Charlotte, NC)
- SEC Regulatory Matters - Senior Associate Job Description As a Senior Associate in the SEC Regulatory Matters Group, a part of the firm's ... its PCAOB reporting obligations. Under the supervision of the senior team members, you will help track internal metrics,...for such engagements, and monitor accounts receivable + Supervise SEC Regulatory Matters paraprofessional in… more
- Valmont Industries, Inc. (Omaha, NE)
- …includes periodic financial reports to the Securities and Exchange Commission ( SEC ), ensuring alignment with evolving regulatory standards and executive-level ... integral and tangent to the successful performance of the job such as legal and regulatory areas including but not limited to SEC reporting + Lead development… more
- Robert Half Finance & Accounting (Houston, TX)
- …integrity and consistency. + Provide technical accounting research and position papers on complex SEC and ESG matters . What We Offer: + 100% remote work ... Description Job Title: SEC Reporting & ESG Accounting Specialist (Remote) Location:... and ESG reporting requirements, FASB pronouncements, and evolving regulatory guidance. + Support internal and external audit requests… more
- American Water (Lexington, KY)
- …and legal functions and provides clear technical guidance on rate and regulatory matters to communications, external and government affairs, and customer ... the accuracy of communications material related to rate and regulatory matters . Plays a lead role in...of US GAAP, International Accounting Standards, SOX and other regulatory ( SEC , state utility regulatory … more
- OGE Energy Corp. (Oklahoma City, OK)
- Senior Regulatory Accountant Requisition ID: 1808 Job Category: Managerial / Professional Location: Oklahoma City, OK, US, 73101-0321 Job Description: **JOB ... INFORMATION** * Job Title: Accountant Senior * Job Code: 125872 * Job Grade: 56...trading, or compliance). * Interact with auditors on various matters , specifically, preparation of audit schedules and reviews. *… more
- Lincoln Financial (Greensboro, NC)
- …all exhibits, including complex contracts. * Researching, evaluating and reporting on regulatory matters related to mutual fund registration documents and fund ... #:** 74826 **The Role at a Glance** As a Senior Consultant, Fund Admin, Regulatory , you will...direction to internal/external stakeholders on a broad variety of matters related to SEC -registered investment funds and… more
- PPL Corporation (Providence, RI)
- …or projects to achieve milestones and objectives and will occasionally present topical matters to senior leadership in the Financial Department. Trains and ... members. + Increases and applies knowledge of legal and regulatory issues and changes in accounting guidance + May...achieve milestones and objectives and will occasionally present topical matters to senior leadership in the Financial… more
- Citigroup (Queens, NY)
- …requests + Other responsibilities include conducting thorough research and analysis of regulatory reporting, and other regulatory matters , as warranted, ... regulatory reporting along with financial analysis in order to communicate results to Senior Management and US Regulatory Agencies + Keep abreast of industry,… more
- JPMorgan Chase (New York, NY)
- …responsibilities** + Prepare weekly reporting on regulatory exams and regulatory engagements for distribution while engaging with senior management, banking ... Technology. + Provide strategic advice and regular updates to Global Technology senior management regarding the matters being handled, including, but not… more
- JPMorgan Chase (New York, NY)
- …responsibilities** + Prepare weekly reporting on regulatory exams and regulatory engagements for distribution while engaging with senior management, banking ... Technology. + Provide strategic advice and regular updates to Global Technology senior management regarding the matters being handled, including, but not… more
- TD Bank (Mount Laurel, NJ)
- …matter expertise and Compliance advice to business management.** + **Assist senior compliance managers with regulatory engagements, including on-site exam ... compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and federal securities... management of the Bank with respect to significant regulatory compliance risk matters . + Empowered to… more
- Raymond James Financial, Inc. (Memphis, TN)
- …the following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst plays a key role in supporting the firm's compliance ... with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this...operational information for internal and external auditors (eg FINRA, SEC ) with limited oversight + Plans and executes remediation… more
- Robert Half Finance & Accounting (Chicago, IL)
- …other external reporting contributors. (15%) + Interprets new technical guidance (FASB/GAAP, SEC , etc.) and other regulatory pronouncements and determines the ... promoted quickly. PRIMARY PURPOSE OF POSITION Leads the development of all SEC quarterly and annual financial reports. Ensures effective disclosure controls and… more
- Truist (Charlotte, NC)
- …on a concurrent basis, including Executive Leadership, other members of the Senior Leadership Team, external auditors, and regulatory agencies. Provide expert ... counsel and advice on regulatory reporting matters to various standing committees and project teams. Prepare...or Accountancy 2. Prior experience working for a large, SEC -registered financial institution or senior manager-level public… more
- Robert Half Finance & Accounting (Houston, TX)
- …implementation, and maintenance of compliance policies and procedures in line with FINRA, SEC , and state regulations. + Regulatory Filings: Prepare and submit ... + Issue Resolution: Investigate and resolve compliance-related issues, escalating complex matters to senior management as needed. Requirements WHAT YOU… more
- DuPont (Wilmington, DE)
- …financial accounting and reporting. + Analyze new accounting guidance from the FASB, SEC and other regulatory bodies, including evaluating the impact of new ... Why Join Us | DuPont Careers (https://careers.dupont.com/us/en/whyjoinus) **Technical & Policy Senior Accountant** We are seeking a Technical & Policy Senior… more
- City National Bank (New York, NY)
- …* Comply fully with all Bank Compliance policies and procedures as well as all regulatory requirements (eg SEC Rule 204, SEC Rule 206, Regulation Best ... *COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The...controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory… more
- Marex (New York, NY)
- …US Broker Regulatory Reporting process. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, MSRB, and other regulatory ... laws, rules and regulations with the ability to assess firm impact. Specifically, SEC , FINRA, MSRB, and other regulatory organizations. + Excellent understanding… more
- Bristol Myers Squibb (Princeton, NJ)
- …for the Purpose team. This role supports key governance functions and SEC -related activities, ensuring compliance and advising senior leadership. **Key ... and in their personal lives. Read more: careers.bms.com/working-with-us . **Position:** Senior Corporate Counsel, Strategy, Securities, Governance & Purpose Law (… more
- Wells Fargo (Charlotte, NC)
- …the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management + Provide direction ... **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer for the Investment Solutions...within Wealth and Investment Management Compliance to focus on SEC Registered Investment Advisory Programs and Products. Learn more… more