| Job alert | Jobs 51 - 60 of 339 |
AVP, Legal Entity Controller
Cantor Fitzgerald
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Manhattan, NY, 10261
... Liaise with SEC reporting, Corporate Accounting, Regulatory Reporting, Product Control, Tax, Technical Accounting, Treasury, and Cash Management in order to ensure proper accounting; Spearhead and provide financial and advisory support for new and ... - Apr 30
Chief Compliance Officer, Broker-Dealer
Simmons & Hanbury
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New York, NY
... Managing firm’s relationships with the SEC and FINRA. Ensuring compliance controls and governance frameworks for the firm’s clearing business and for new business authorizations. Identifying potential areas of compliance vulnerability and risk, ... - May 04
Midlevel Capital Markets Associate - New York
Sonder Consultants
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Manhattan, NY, 10261
... The ideal candidate will: Have at least 3 years' experience in all aspects of capital markets transactions (debt and/or equity), including IPOs and follow-on offerings, as well as SEC compliance and general corporate governance (preferably at an ... - Apr 18
Legal & Compliance Associate
Reputable Staffing, Inc.
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Manhattan, NY, 10261
... Liaise with the firm's marketing team & review marketing materials Coordinate completion & submission of regulatory filings, including Form ADV, Form PF, and others Perform regulatory analysis with respect to SEC rulemaking Assist with fund ... - Apr 13
Vice President, Assistant Controller
AlTi Global
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Manhattan, NY, 10007
... The candidate will be responsible for managing financial records for a specific set of entities and preparing reporting for these entities for inclusion in the consolidated group accounts in accordance with US GAAP and SEC required reporting. This ... - Apr 12
Compliance Officer, Park Avenue Securities
Guardian Life Insurance
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Manhattan, NY, 10001
... The incumbent will lead the implementation and interpretation of applicable SEC, FINRA, MSRB laws and other regulations, and ensure our organization remains in compliance. The Chief Compliance Officer of PAS will also play a key role in providing ... - May 01
Assistant Controller
Yoh, A Day & Zimmermann Company
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New York City, NY
... • CPA preferred • Experience with the net capital and customer reserve computations pursuant to SEC Rules 15c3-1 and 15c3-3 is a plus • Outstanding project management, communication and interpersonal skills • Strong commitment to accuracy and ... - May 02
VP, FCS Compliance Coordinator
Crédit Agricole CIB
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Manhattan, NY, 10261
... Experience of drafting compliance policies and procedures Knowledge of one or more of the following categories of regulations or subject matters: Banking regulations Broker-Dealer and Swap Dealer regulations (e.g., FINRA rules, SEC rules, CFTC, NFA ... - Apr 10
Accounting Consultant - Engagement Director
CliftonLarsonAllen
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New York City, NY
... Prior industry experience as a CFO, Controller, SEC Reporting or Internal Audit Manager equivalent preferred. We love Big Four alum! A bachelor’s degree in accounting, finance, business, or related field required. Mastery in Microsoft Excel and ... - May 06
Financial Consultant - Entry Level
Equitable
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Secaucus, NJ, 07094
... Investment advisory products and services offered through Equitable Advisors, LLC, an SEC-registered investment advisor. Annuity and insurance products offered through Equitable Network, LLC. Equitable Advisors, LLC is an equal opportunity employer. ... - Apr 21