- 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
- SMBC (Charlotte, NC)
- …largest global financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...based Fixed Income Middle Office and Securities Settlements functions. Reporting directly to the Head of Securities… more
- TD Bank (Chicago, IL)
- …conduct business-based analysis and execute requite implementation. * Provide ongoing reporting to senior management * Develop and deliver proactive strategies and ... the ability to assess firm impact. Specifically, FED, FINRA, SEC , CFTC, NYSE, MSRB and OCC, Exchange Level SROs....colleagues to help them and their families achieve their financial , physical and mental well-being goals. Total Rewards at… more
- PPL Corporation (Allentown, PA)
- …2. Five years of accounting experience with extensive knowledge of GAAP and financial reporting requirements, with at least 3 years of leadership experience. ... regulated utilities. 3. Experience in all areas of GAAP, SEC reporting and internal controls/Sarbanes Oxley requirements....of accounting experience with extensive knowledge of GAAP and financial reporting requirements, with at least 3… 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
- PPL Corporation (Louisville, KY)
- …preparing & analyzing financial reports and enhancing internal controls over financial reporting . This is a senior-skill level normally without supervisory ... reports, and testing and monitoring internal controls over financial reporting . Works with regular guidance in...CMA 3. Experience in utility accounting, public accounting and SEC reporting , and a working knowledge of… 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
- Marex (Chicago, IL)
- 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
- 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
- Robert Half Finance & Accounting (Columbia, MD)
- …home. Requirements - Some understanding of technical accounting - Experience with SEC Reporting a plus - Proven knowledge of financial auditing - CPA and MA ... both considering making a move and have a good head on your shoulders for research, you will not...like to be considered. This role's duties include internal reporting during the monthly close, participate in compliance, interact… more
- T. Rowe Price (Baltimore, MD)
- …investment advisory businesses. This role will be responsible for assisting the Head of North America Compliance in developing and maintaining an effective ... and regulatory requirements within the investment industry. Responsibilities + Assist the Head of North America Compliance in overseeing and managing the firm's… 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
- BlackRock (Philadelphia, PA)
- …Development team, to be responsible for providing direct support to CMG's Global Head of Product and Platform. The Associate will be working across the global ... changes that require a change in product structure, systems, reporting and client communication. In addition, you will be...all industry and regulatory requirements related to, for example, SEC Rule 2a-7 and UCITS regulations. + Project management… more
- Morgan Stanley (Washington, DC)
- …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...required 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
- Walworth County (Elkhorn, WI)
- …participate in all mandatory health department assessment, planning and reporting activities, including DHS 140, strategic planning, accreditation, CHA/CHIP, ... or refer to appropriate resource. Oversee the accurate collection, processing and reporting of division programs' data. Analyze the data, identify trends and develop… more
- Vanguard (Malvern, PA)
- As the Chief Compliance Officer of Vanguard Global Advisors and Head of Vanguard Fund and Advisor Compliance, this role provides strategic leadership and direction ... industry standards. + Responsible for the design and execution of the SEC 206(4)-7 and 38a(1) Compliance Programs. + Participate in governance activities, provide… more
- Marex (Chicago, IL)
- 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 Role: The Information Security Officer works alongside the Head of Information Security to lead and report on… more
- Walworth County (Elkhorn, WI)
- …as development, implementation, compliance monitoring, management of funds and reporting requirements. Participate in "on-call" rotation of after-hours supervision ... additional Scheduled Time Off (STO) based on continuous related experience per Ord. Sec . 15-515 (e) PERSONAL TIME OFF: Employees will receive 64 hours of personal… more