- 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
- Citigroup (New York, NY)
- …including US Regulatory Reporting . Strong familiarity with Regulatory rules and GAAP/ SEC financial reporting . + Sound judgment to weigh issues ... that will report into our new **Regulatory and Capital Reporting Head ** **.** **Those roles are:** **Capital...including the Businesses (eg, Markets), Risk, Treasury, Capital Controllers, SEC Reporting , Financial Planning &… more
- CIBC (New York, NY)
- …Interest Rate Derivatives, FX + Assist with surveillance of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting ... and Written Supervisory Procedures (WSPs) to comply with applicable trading regulations ( SEC , FINRA, CFTC, NFA and others) + WSPs must clearly indicate "evidence… more
- SMBC (White Plains, NY)
- 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
- Mizuho Corporate Bank (New York, NY)
- …and frameworks, and familiarity with the US Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority (FINRA), Office of the Comptroller ... team as an Information Security Officer! This position reports directly to the Head of the Information Security Office, contributes to, and supports the firm's… 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
- Morgan Stanley (New York, NY)
- …Region informed of significant matters and is a non-revenue sharing position that has dual reporting to the Head of the Centralized Review Unit (CRU) and the ... Morgan Stanley is a leading global financial services firm providing a wide range of...for role or by management . Strong knowledge of SEC , FINRA Rules and Regs including Investment and Product… 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