- Fidelity TalentSource LLC (Jersey City, NJ)
- Job Description:The RoleFinancial Analyst role will report directly to the Vice President of the Regulatory Reporting Group and will be responsible for ... supporting the group with the Weekly Reserve Computation under SEC Rule 15c3-3 and Monthly Net Capital Reporting under SEC Rule 15c3-1 as well as FINRA Rule… more
- Tradeweb (New York, NY)
- Tradeweb is seeking a Vice President , SEC Reporting to join our best-in-class SEC Reporting department in New York City. This role will report ... into the Director of SEC Reporting and be responsible for the preparation of the company's quarterly and annual Form 10-Q/K's and quarterly earnings releases and… more
- Morgan Stanley (New York, NY)
- …employer committed to diversifying its workforce (M/F/Disability/Vet). **Job:** **Finance* **Title:** * SEC Reporting Vice President * **Location:** ... various businesses and its senior management team. *Job Overview* The VP of SEC Reporting manages a team of 4-6 professionals responsible for the production and… more
- JPMorgan Chase (New York, NY)
- …quo and striving to be best-in-class. As a Compliance Risk Management Lead - Vice President on the Compliance, Conduct and Operational Risk (CCOR) Team, you ... and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting and Risk Control Self-Assessment. **Job Responsibilities** + Perform analysis… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Vice - President for the Compliance Risk Assessment team ("CRA team") within the ... assessments for the legal entities they cover (primarily non-U.S. entities). Management reporting of the risk profiles and ongoing evolution thereof will be… more
- Morgan Stanley (New York, NY)
- …to diversifying its workforce (M/F/Disability/Vet). **Job:** **Operational Risk* **Title:** *Assistant Vice President US Banks Business Risk New Product ... and financial risks associated with identifying, documenting, tracking, escalating, and reporting Business Unit product change proposals for existing Bank products… more
- TD Bank (New York, NY)
- …details for this role **Job Description:** **Preferred Qualifications:** We are seeking a Vice President , Fixed Income Compliance Advisory to join TD Securities ... conduct business-based analysis and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive strategies and… more
- FleishmanHillard (New York, NY)
- …biggest brands has an immediate opening for a hands-on, self-starting Senior Vice President with a background in corporate communications, investor relations, ... messaging for significant M&A activities. + Work with External Reporting team and IR to develop Q&A to address...Q&A to address any issues that might arise from SEC filings. **Qualifications** + 12+ years of integrated investor… more
- Hold Brothers (New York, NY)
- …a self-clearing broker-dealer. + Expert knowledge of broker-dealer operations, and regulatory reporting needs including FINRA, SEC , and other agencies as ... and serve as a member of our executive team. Reporting to the CEO, this role is responsible for...and related disclosures as required by GAAP and the SEC . Additionally, this position will monitor emerging SEC… more
- MUFG (New York, NY)
- …execution of the end-to-end audit process (eg planning, fieldwork testing, reporting , issues validation, etc.). The Senior Auditor I also establishes direction ... Provide constructive input to Audit & Finance Committee and Management reporting . **Education and Licensure:** A Bachelor's degree, preferably in Accounting,… more
- Guardian Life (New York, NY)
- …purely a "technician". The PAS Chief Compliance Officer will report directly to the Vice President , Chief Compliance Officer for Individual Markets, who is a ... incumbent will lead the implementation and interpretation of applicable SEC , FINRA, MSRB laws and other regulations, and ensure...this position will have a dotted line to the President , Park Avenue Securities. Reporting into the… more
- Broadridge Financial Solutions (Newark, NJ)
- …with providing support for other ad-hoc projects. This position reports directly to the Vice President , Tax Accounting. We are made up of high performing teams ... tax provision on a quarterly and annual basis and tax-related disclosures for SEC reporting , maintain and analyze discrete items for each reporting period… more
