- WithumSmith+Brown (East Brunswick, NJ)
- …in the Plus! Come join our world class service team. Withum is seeking a Manager to join our fast growing and well established national firm. This position requires ... supervisory skills and knowledge of the Life Science and SEC space. Our Life Sciences practice serves public and...team staff on the planning and execution of an audit engagement to effectively and efficiently provide world-class client… more
- Crdit Agricole CIB (New York, NY)
- …per the Firm's policies and procedures and tools *Knowledgeable with FINRA and SEC rules for the Broker/Dealer business *Manage data collection and data quality ... Experience Required: 10+ years Preferred: Prior Compliance, Risk or Internal Audit experience within a Corporate Bank environment; Knowledge of Broker/Dealer FINRA/… more
- Robert Half Finance & Accounting (Cranbury, NJ)
- …Our client, a rapidly growing pharmaceutical company, is seeking a Director of SEC Reporting to lead technical accounting operations and support its path toward a ... ideal for a detail-oriented leader with deep expertise in SEC reporting, technical accounting, and biopharma industry standards. Key...and stay current on GAAP, IFRS, and evolving regulations. Audit & Controls + Serve as the primary contact… more
- Fluent (New York, NY)
- As our Corporate Counsel, SEC Reporting and Corporate Governance, you will report directly to the Chief Financial Officer and play a key role in ensuring compliance ... with all SEC reporting requirements and corporate governance matters. You will...regarding matters related to quarterly and annual filings, internal audit , SOX controls and credit facility + Advise on… more
- Scotiabank (New York, NY)
- Senior Audit Manager , Audit Department...related to market abuse and conduct (eg FINRA, CFTC, SEC , FCA) + Strong analytical skills with a proven ... to drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience… more
- Grant Thornton (New York, NY)
- As an Accounting Advisory Manager , you will be responsible for teams that consult with clients on complex accounting transactions. You will help clients address ... preparing technical accounting positions, and providing support around transaction audit review + Provide transaction accounting support for transactions including… more
- Grant Thornton (New York, NY)
- As a Senior Manager , you will be responsible for teams that consult with Grant Thornton accounting advisory clients on complex accounting transactions. You will ... the business - for financial sponsors and corporate clients + Supporting SEC regulatory filings for carve-outs and facilitating the preparation of carve-out… more
- Colgate-Palmolive (New York, NY)
- …talents and drive impactful solutions. We are seeking an experienced and driven Manager /Senior Manager to join our Financial Reporting and Technical Accounting ... are accurate, timely, and compliant with US GAAP and SEC regulations. You will lead complex accounting projects, drive...annual financial statements + Coordinate and manage the external audit process; serve as a primary point of contact… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the ... compliance testing for Scotiabank's compliance of CFTC Swap Dealer, SEC Security Based Swap Dealer and Futures related regulations,...experience. **What You'll Bring** + 5-7 years of compliance, audit or regulatory exam support, at least 3 of… more
- MISTRAS Group, Inc. (Princeton Junction, NJ)
- …accountability. **MAJOR RESPONSIBILITIES/ACTIVITIES:** + Preparation of the Company's periodic SEC filings (10-Q, 10-K, 8-K, proxy statement), including preparation ... committee. + Conduct technical research on US GAAP and SEC Interpretive Releases and assist in assessing impact on...Assist with documentation preparation for both internal and external audit requests + Providing ad-hoc analysis in support of… more
- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist with building a global Surveillance Quality Assurance program. ... The Surveillance Quality Assurance Manager will help lead a specialized function responsible for...the surveillance department aligns with global regulatory requirements (eg, SEC , FINRA, CFTC, NFA, FCA, MAS, etc.) and industry… more
- JPMorgan Chase (New York, NY)
- …wealth planning, philanthropy, credit and banking. As a Marketing Supervisory Manager within Asset & Wealth Management, you will provide informed, meaningful ... Legal teams in order to help ensure adherence to SEC , FINRA and firm regulations and guidelines + Attend...stakeholders as needed + Attend local Wealth Management Supervisor Manager and global Supervisory Manager calls as… more
- New Jersey Resources (Wall Township, NJ)
- …development, and competitive pay and benefits. New Jersey Resources is seeking a Manager Accounting Research and Policy to manage the Company's accounting policy and ... Research technical accounting and financial reporting requirements promulgated by the FASB, SEC , AICPA, FERC and other standard setting bodies. * Actively monitor… more
- SMBC (New York, NY)
- …right stakeholders at the right time. + Partner with Compliance, Risk, Audit , and Technology teams to ensure program objectives align with regulatory expectations ... execution of remediation activities related to regulatory findings and audit observations, ensuring timely closure, documentation, and sustainable control… more
- Scotiabank (New York, NY)
- Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline only. Salary ... Bring** + A minimum of 5 years of compliance, audit or regulatory exam support experience with at least...or institutional broker-dealer is preferred. + Familiarity with applicable SEC , FINRA, CFTC, NFA, Federal Reserve and state banking… more
- Grant Thornton (New York, NY)
- …principals, managing directors (PPMDs) and professionals in evaluating new opportunities ( audit or other) or existing relationships for a client (or prospect) ... private equity firms for which the firm is maintaining SEC independence. + Provide teams guidance or assist them...guidance or assist them on identifying affiliates of their audit clients under the applicable independence standard (eg, AICPA,… more
- Raymond James Financial, Inc. (New York, NY)
- …leader will regularly interact with federal and state regulators, Compliance, Audit , business unit executives, Raymond James enterprise technology functions and ... **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA, SEC , and other relevant regulatory guidance + Experienced in the implementation… more
- TD Bank (New York, NY)
- …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... surveillance data quality issues. Engage with regulators and Internal Audit as needed to address any question s or...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Citigroup (New York, NY)
- The Product Manager will be responsible for supporting the Americas Wealth Markets business in key initiatives including: + Assisting the Product Management Head and ... such as revenues and business performance + Assist with responses to Internal Audit , Regulators, and Compliance Testing, as needed + Participation in, and at times… more
