to exchanges and technology-powered services. For more information visit Purpose of Role: The Operational Risk Manager... exposure and related control gaps. Governance: Contribute in and create reporting materials for governance forums, ensuring...
external and internal reporting requirements, including SEC filings Prepare audit-ready documentation and respond to internal...Accounting Manager - Controlling New York, NY We are seeking an experienced Accounting Manager, Controlling...
INVESTMENT ANALYTICS & TRADE MONITORING MANAGER ABOUT US City National Rochdale (CNR) partners with financial... manipulation, improper order handling, concentration limit violations, and securities journaling. Reporting: Develop and implement...
to assimilate easily into teams Strong technical skills and a working knowledge of U.S. GAAP and SEC reporting Effective...A Kforce client is seeking to hire a Manager/Consulting Services in New York City, New York (NY). Summary: Our client...
with managing the resolution of issues in technical accounting areas such as US GAAP and SEC reporting, especially pertaining...Industry/Sector Not Applicable Specialism Financial Due Diligence Management Level Manager...
independently US East Coast (e.g. New York or Boston) based Familiarity with SEC filings, financial reporting, or regulatory... for essential financial reporting and capital markets transactions. At DFIN, we are a values-driven organization that empowers...
relentless, customized service is the foundation of our consistent growth. Our team has an immediate need for a Manager... Technology (RegTech) solutions at a leading financial services firm regulated by the SEC and FINRA. This role will partner...
, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce... You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations You'll stay...
, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce... the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations...
, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce... the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations...
(CCAR) activities. Contribute to external reporting efforts, including SEC, IFRS, earnings releases, and disclosures... and dynamic environment. The appropriate accounting, controls and reporting for the Company's compensation and benefits programs...
, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce... You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations You’ll stay...
in SEC/Regulatory reporting for Tier 1 / 2 Financial Institutions a plus Bloomberg experience is a plus Experience... regulatory filings for FR Y9C HCR Part 1, FFIEC101, FR Y14Q Schedule C/D; FR 2052a SBS Reporting to Liquidity and Non-Material...
company leadership role. Strong technical knowledge of US GAAP, SEC reporting, and SOX compliance. Experience in SaaS...). Oversee preparation and review of accounting schedules supporting SEC filings (financial statements, footnotes, MD&A). Manage...
), review all Credit related SEC reporting, manage audits, and partner with cross functional business leaders, serving as a key..., System Platform, Corporate Accounting, Treasury, Accounting Policy, SEC Reporting, SOX, etc. Partnership with Capital...
, and key market participants. Partner with finance and legal teams on disclosures, SEC filings, and capital allocation.... Proven track record in taking a company public (SPAC or IPO). Strong knowledge of capital markets, financial reporting...
interdependencies, and ensure timely decision-making across complex initiatives. Deliver clear and consistent communications, reporting... to contribute as required. Conduct reviews to ensure projects are added to the project reporting system and continuously...
and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge... strongly preferred, including FINRA, SEC, NYSE Knowledge of FICC, equities, prime brokerage, and investment banking services...
coordination, governance and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker-dealer... Compliance Regulatory Change Management Compliance Alerts and other Communications Governance and Reporting: The Regulatory...
risks associated with identifying, documenting, tracking, escalating, and reporting Business Unit initiatives to modify... Risk Manager. Work with management and risk partners covering various Bank strategic initiatives and product change...