- 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
- Marex (New York, NY)
- 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
- BMO Financial Group (New York, NY)
- …policies and standards. This position has an enterprise mandate for BMO Financial Group across all jurisdictions and legal entities that BMO operates. Leads ... & Compliance Training which impacts all BMO employees. Leads the Compliance quarterly reporting process to BMO's Audit and Conduct Review Committee of the Board of… more
- SMBC (New York, NY)
- …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...approximately 30 staff responsible for middle office, settlement and reporting for the Nikko Treasury business. The team will… more
- TD Bank (New York, NY)
- …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Physical Requirements:** Never: 0%;… 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:** **Report...including the Businesses (eg, Markets), Risk, Treasury, Capital Controllers, SEC Reporting , Financial Planning &… more
- Citigroup (New York, NY)
- …Expenses, Net Income and Balance Sheet reporting for Equites including 10Q/10K SEC reporting and related disclosures. + Ensuring daily reporting of ... timely manner. + Working closely with the Global business head to ensure that Finance concerns are appropriately prioritised;...Equities (including Prime) business and associated P/(L)/ PAA and Financial reporting + Strong Risk and Control… 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
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) Compliance Examination Manager for Capital Markets/Broker-Dealer/Swap Dealer Reporting to the Head of US Compliance ... evaluate compliance with related laws and regulations + Solid understanding of FINRA, SEC and NYSE rules and regulations and the inherent compliance issues facing… more
- Scotiabank (New York, NY)
- …broker-dealer, banking, investment management activities, corporate functions, and other financial services activities. The primary responsibility of this position ... + Lead Testing and Monitoring reviews through the planning/scoping, fieldwork and reporting phases. + Escalate potential issues and exception items noted during the… more