| Job alert | Jobs 21 - 30 of 529 |
Analyst, Compliance Consulting
Kroll
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New York City, NY
$60,000 - $90,000
... or other derivatives You have excellent verbal and written communication and analytical skills You have knowledge of SEC Advisers Act and or FINRA Rules Relevant certifications preferred (e.g., NFA Series 3, CFTC Compliance Professional) You ... - Jun 13
Internal Audit, Controllers & Tax, Regulatory Financial Reporting
Asset & Wealth Management
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New York City, NY
$85000-$140000
... Knowledge in any of the following areas are preferred: Basel regulatory requirements CCAR regulatory requirements Recovery and Resolution regulatory requirements SEC US GAAP accounting Controls surrounding regulatory reporting, legal entity ... - Jun 14
AVP, LSI Compliance
Lloyds Bank
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Manhattan, NY, 10036
... (LSI), a broker-dealer registered with the Securities and Exchange Commission (SEC), and FINRA member firm, is the U.S. securities arm of Lloyds Bank Corporate Markets, plc UK (LBCM plc UK). Lloyds Securities' businesses include Debt Capital Markets ... - Jun 07
Investigative Analyst
T&M USA, LLC
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New York City, NY
... · Research with social media postings, media articles, state and federal court records, SEC filings, property records, and corporation paperwork. · The ability to summarize findings in concise well-written reports for clients. · Knowledge of Boolean ... - Jun 13
Controllers - Financial Accounting, Legal Entity, Associate - Jersey
Asset & Wealth Management
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Jersey City, NJ
$85000-$140000
... Preparation of quarterly financial information for inclusion in the firm’s consolidated financial statements filed with the SEC Assist in analyzing legal entity regulatory capital requirements, by closely working with the Market Risk, Credit Risk ... - Jun 14
Assistant Controller
Hire Point Recruiting
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Manhattan, NY, 10001
Job Description Key Responsibilities: Draft quarterly 10Q and annual 10K documents, including financials, for SEC filing. Lead SOX compliance efforts to achieve a clean audit opinion in the 10K. Review the month-end close process to ensure timely ... - Jun 25
Senior Manager - Financial Reporting
Greenbacker Capital
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Manhattan, NY, 10019
$170,000 - $200,000 per year
... Job Purpose/Background: We are looking for an experienced Financial Reporting Senior Manager who will be responsible for leading the preparation and the filing of the Company’s Forms 10-K, 10-Q and others Forms with the SEC. This position will lead ... - Jun 16
White Collar Defense/Investigations Attorney
StaffingForce
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New York City, NY
... Experience in SEC or PCAOB enforcement matters ; Some engagement with auditing and accounting issues ; Experience in a large law firm setting (experience will be current or very recent). Stellar academic credentials (Law Review and/or Moot Court ... - Jun 13
Broker Dealer Accountant
Alliance Sourcing Network,Inc.
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Manhattan, NY, 10022
... Responsible for the monitoring of the daily, weekly and monthly capital requirements of CAS as mandated by rules promulgated by the SEC and applied by FINRA. Responsible for weekly reserve calculations under SEC Rule 15c3-3. Prepares monthly and ... - Jun 19
Compliance Analyst - Broker Dealer/ RIA
Michael Page
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Manhattan, NY, 10261
... Profile 1-3 years of regulatory compliance experience, preferably with an SEC-registered investment adviser or FINRA broker-dealer. Strong understanding of investments, financial markets, and financial products. Tertiary qualifications in law, ... - Jun 25