- nrg (Princeton, NJ)
- … Support - Provide assistance with public company related matters, including:Ensure compliance with federal and state securities laws, with particular focus ... and provide leadership on a wide range of corporate, securities , and governance matters. The role would report directly... matters for a publicly traded company, including ensuring compliance with SEC and NYSE rules and regulations; preparing… more
- Fidelity TalentSource LLC (Boston, MA)
- Job Description:The TeamAs a Compliance Director in Regulatory Management, we will expect you to have direct contact with the SEC, FINRA and other regulators on ... equities and fixed income sales and tradingYour comprehensive understanding of securities markets, the brokerage business and applicable securities rules… more
- Fidelity TalentSource LLC (Jersey City, NJ)
- …with trading securitiesGeneral understanding of New Account proceduresUnderstanding of Securities Processing operations and Broker/Dealer Compliance policies and ... clients (brokerage firms and investment advisors) in selling restricted / control securities for their client s pursuant to SEC regulations and insider trading… more
- WSFS Bank (Wilmington, DE)
- …account and file maintenance, system maintenance and transaction input, cash and securities processing, account reviews, and complete compliance and legal ... communications; Knowledge and understanding of fiduciary principles; Knowledge of securities processing and clearing; Knowledge of trust/accounting systems, technology… more
- Fidelity TalentSource LLC (Cambridge, MA)
- …Manager will be responsible for assisting the administration of F-Prime Capital s compliance program, working with a multi-functional team of compliance , legal ... and business professionals. The Manager will be expected to provide compliance support and guidance and have a significant role in protecting the interests of… more
- Fidelity TalentSource LLC (Smithfield, RI)
- …of 1940 and the Global Investment Performance Standards (GIPS)Thorough familiarity with federal securities laws, including the Securities Act of 1933, the ... proprietary and non-proprietary alternatives, including marketing and advertising issues and compliance matters. \u00A0 The Skills You BringYour crisp and clear oral… more
- Fidelity TalentSource LLC (Merrimack, NH)
- …fiscal and excise tax provisions, annual financial statement disclosures, quarterly compliance tests, fund distribution calculations, 1120-RIC and Form 8613 tax ... Manager, you will share your knowledge with staff-level associates on securities taxation and complex derivatives including futures, swaps, and options.\u00A0… more
- Fidelity TalentSource LLC (Smithfield, RI)
- …the relevant jurisdictionHighly advanced expertise and experience in investment adviser securities laws and related rules and regulations and general knowledge and ... with our business partners and others within the Legal, Risk, and Compliance departmentsAbility to manage outside counsel to provide quality legal services in… more
- Creative Financial Staffing (Houston, TX)
- …statements, including 10-Q and 10-K, verifying all transactions and disclosures are in compliance with GAAP and the Securities and Exchange Commission ("SEC") ... to internal controls over financial reporting Prepares and assists with compliance reporting for banks, investors, and other regulators Supports external auditors… more
- TradeStation (Atlanta, GA)
- …to measure campaign performance Present data in a clear and actionable format Compliance and Quality Assurance: Ensure strict compliance with financial industry ... Desired Qualifications: Relevant industry experience would be a strong advantage ( Securities , Fintech) 3+ years agency experience What We Offer: Collaborative work… more
- Fidelity TalentSource LLC (Merrimack, NH)
- …Retail and Institutional products, including books and records maintenance, securities ' pricing, fund and security level performance analysis, financial reporting, ... and activitiesCollaborating across our Risk team and its partners (eg, Audit, Compliance , etc.) to optimize the Risk Management support provided to the business… more
- Creative Financial Staffing (Denver, CO)
- …part in ensuring accurate and timely reporting of financial information to the Securities and Exchange Commission (SEC). The ideal SEC Accountant should have a ... Stay up-to-date on changes in accounting standards and SEC regulations, ensuring compliance . Assist in the implementation of new accounting standards and contribute… more
- Fidelity TalentSource LLC (Bethesda, MD)
- …to have rewarding interactions with clients. As a subject matter specialist in compliance and all front lobby transactions, you will partner and contribute to branch ... adopter of technology and share what you have learned with the teamCertifications: Securities Industry Essentials (SIE) - Issuing Authority, Series 07 - FINRA, Series… more
- Fidelity TalentSource LLC (Greenwood Village, CO)
- …project management, data support for new product launches, regulatory & compliance data need fulfillment, marketing & communications material creation and advisor ... requirements and handle results of technical development teams.Knowledge of securities , corporate actions, financial statement analysis, street estimates, pricing… more
- Fidelity TalentSource LLC (Merrimack, NH)
- …the production of financial reports to ensure accuracy and compliance with regulatory, product-specific requirements and internal quality standards. Products ... (eg, commodities, real estate, private debt, private equity, distressed securities , derivatives, cryptocurrencies) Knowledge of US GAAP financial reporting standards… more
- Creative Financial Staffing (Houston, TX)
- …financial position. Prepare and analyze quarterly and annual financial statements in compliance with IFRS Facilitate the external audit process, serving as the ... used in financial reporting. Ensure the preparation of regulatory reporting for securities commissions and stock exchanges is accurate and timely. Provide insightful… more
- ICONMA (Waco, TX)
- . Performs a variety of operational tasks for moderately complex securities or cash related transactions or processes that require general knowledge of unit ... to minimal supervision. . Day to day processing. Risk management and compliance . . Maintenance and Set up. . Differentiating, processing, and reconciling… more
- Piedmont Airlines, Inc (Middletown, PA)
- …team members, including journal entries and account reconciliationsPrepare quarterly Securities and Exchange Commission (SEC) reporting package information for ... Financial Planning and Analysis Department with inquiries and issuesEnsure compliance with Generally Accepted Accounting Principles (GAAP) and internal policies… more
- Securities and Exchange Commission (Los Angeles, CA)
- …The Division of Examinations- Los Angeles Regional Office is hiring a Supervisory Securities Compliance Examiner in Los Angeles, CA. Responsibilities At the ... entities over which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner, you will: Direct employees responsible for working… more
- Intuit (Mountain View, CA)
- …respect for privacy and confidentiality. How you will lead + Supporting Intuit's securities compliance program, which will include SEC filings, board governance, ... auditors and other advisors. + Identifying and creating efficiencies within the securities compliance program through the use of technology, including building… more
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