, preparing regulatory reports for the company's broker-dealer, maintaining accounting records and files, maintaining SOX... with auditors. Maintain appropriate SOX controls documentation. Assist with the preparation of monthly, quarterly, and annual...
including SOX compliance with revenue recognition. Reconcile work in progress for assigned clients. Monthly intercompany...
in all quarterly review and audit coordination and completion as well as for the SOX assessment Review the tie-out of financial... Other Handles External Auditor quarterly review and annual audits and handles SOX, including documentation for BDCs Coordinate...
the point person for annual audit reviews, independent reserve reviews, internal audit and SOX reviews for North America... ideas and providing guidance and feedback on the analyst suggestions. Running team meetings to ensure cross-learning...