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Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. Reporting to the COO, Technology provides digital tools, software services and infrastructure globally to all business groups.
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Alteryx, Banking, Business, Critical Thinking, Data Acquisition, Data Analysis, Data Management, Data Operations, Data Quality, Decision Making, Financial Products, Leadership, Management Reporting, Microsoft Power BI, People Management.
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Drive and support monthly reporting and analysis of financial results to FCC leadership including preparation of monthly operating review materials, quarterly lender call materials, annual incentive and business metrics tracking, and other ad hoc reporting.
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Manage and create a formal supplier diversity program that includes defining and managing supplier participation requirements and processes, including tracking and reporting, benchmarking best practices strategies while maintaining Good Faith Effort programs and reporting outreach.
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Reporting to the Home Study/Post Release Services (HSPRS) Regional Supervisor (RS), the HS/PRS Case Coordinator will assist in providing HSPRS Case Managers (CM) with documentation and administrative support.
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The SEVIS Compliance Analyst is responsible for applying federal regulatory parameters to determine whether non-immigrant student and exchange faculty members are compliant with Department of Homeland Security (DHS) regulations, as part of the mandatory SEVIS reporting responsibilities of the University.
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As a Systemically Important Financial Market Utility (SIFMU), OCC operates under the jurisdiction of the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), and the Board of Governors of the Federal Reserve System.
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Reporting to the VP, Compliance & Privacy Operations, this individual develops and executes monitoring and auditing projects, to include standard, repeatable processes identifying, documenting and presenting any errors, irregularities or findings, and completion of necessary corrective actions.
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Reporting to the Operations Manager, the Customer Success Manager is a member of the U.S. team with the responsibility to manage and deliver high priority client and internal projects (product development & translations, systems implementation etc.
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12+ years of professional experience in technical accounting policy function and/or SEC reporting; prior experience in Big 4 public accounting (manager-level or above) required. The Director of Accounting Policy & SEC Reporting oversees the Firm’s external financial reporting function (SEC financial reporting and compliance) as well as internal quarterly and monthly reporting and is responsible for the technical accounting policy function for the Firm. This position will ensure the timely financial completeness of all periodic, annual, and other financial-related SEC filings.
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Other acceptable experience includes in-house legal counsel or law firm experience working with registered SEC or CFTC entities with significant exposure to compliance and strong analytical and quantitative skills.
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Experience in campaign reporting and leveraging insights from analytics tools like HubSpot, Marketo, Eloqua, Looker, Tableau, & Salesforce to improve campaign performance. - Experience in campaign reporting and leveraging insights from analytics tools like Looker, Tableau, & Salesforce to improve campaign performance.
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The GFC Investigations Manager oversees investigative efforts, reviewing and approving financial crimes cases, in addition to ensuring the delivery of timely and accurate regulatory reporting. The GFC Investigations Manager oversees investigative efforts, reviewing and approving financial crimes cases, in addition to ensuring the delivery of timely and accurate regulatory reporting.
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Hands-on experience with Deal Modelling, C-motion, reference data, risk valuation, invoicing, settlements, and reporting within Endur. Endur JVS, Open Components (good to have) Hands-on experience with Deal Modelling, C-motion, reference data, risk valuation, invoicing, settlements, and reporting within Endur.
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This role will focus on compliance with applicable regulatory and legal rules and requirements (i.e. SEC-Regulation SCI, CFTC-System Safeguards, etc.) Use of technology/tools to track projects, manage deliverables and create reporting that support the program and its objectives.
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sec reporting jobs Company: Robert Half in Chicago, East-hartford, Connecticut
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