Overview: We are looking for an experienced broker dealer regulatory reporting consultant for a large international... preferred 5-10 years of Regulatory Reporting expertise preferred Qualified applicants must reside in the continental...
Broker-Dealer regulatory requirements and supporting members as part of the Nasdaq Regulatory Reporting FinTech team...Nasdaq Technology is looking for a Business Analyst Specialist to join our Broker Dealer team in New York...
of regulatory and/or advisory compliance experience at a broker dealer. A solid foundation in US securities laws and regulations... advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk...
executing banking and broker-dealer-related audits, regulatory matters, and strategic initiatives. Lead and assist in design... environment. What You'll Bring 4+ years of banking/broker-dealer experience in audit and/or financial and regulatory...
executing banking and broker-dealer-related audits, regulatory matters, and strategic initiatives. Lead and assist in design... environment. What You’ll Bring 4+ years of banking/broker-dealer experience in audit and/or financial and regulatory...
Regulatory Reporting Associate About the Team The Regulatory Reporting Unit files regulatory reports for Mizuho... and regulatory reporting, as well as understanding of financial instruments and business activities in the financial service/banking...
or equivalent experience 4+ years of experience in broker-dealer regulatory reporting or broker-dealer operations. General... and perform supervisory review of reporting and/or processes. The ideal candidate will have experience in broker-dealer accounting...
U.S Understanding of the global regulatory environment Experience working at a U.S. registered broker-dealer, swap dealer, futures... coverage of Operations functions with an emphasis on non-financial regulatory reporting requirements in the Americas region...
and termination tasks for the Broker Dealer and Swap Dealer including processing the Form U5 · Process pre-hire regulatory checks... activities for FINRA Broker Dealer and Swap Dealer registrations and advising the Business Units and supports on FINRA...
Summary Director is responsible for overseeing and executing activities for FINRA Broker Dealer and Swap Dealer... and Swap Associated Person designations · Maintain entity level registration form pertaining to the Broker Dealer (i.e., Form...
and/or broker dealer regulatory compliance or a graduate degree and approximately 4 years of consulting work experience A degree in... Capital Markets, investment banking, and broker dealer product and service knowledge (e.g., equity and debt securities...
required Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank Solid understanding of the nature... and staff Assist in keeping the CCR current on relevant regulatory changes Develop and implement compliance related monitoring...
best financial outcomes for the organization Over the course of time, build SME knowledge (from accounting, reporting, regulatory... a similar industry (Trading, Banking, Broker-Dealer etc.) Some experience managing accounting staff and responsibility...
. Qualifications 3-5 years of experience, preferably with both broker dealer and registered investment advisor experience Experience... reporting. Perform registered fund compliance testing and monitoring. Assist in maintaining and updating policies...
experience at a registered broker-dealer, investment manager, or US bank Series 7, 24 required; Series 79 preferred Solid... questions from management and staff Assist in keeping the CCR current on relevant regulatory changes Develop and implement...
, custodians, and retail brokerage for client reporting, research, risk analysis, and portfolio valuation. The Analyst..., collateral performance, trade prices, broker quotes, and market news. Evaluators must also analyze various quality control...
, custodians, and retail brokerage for client reporting, research, risk analysis, and portfolio valuation. The Analyst... performance, trade prices, broker quotes, and market news. Evaluators must also analyze various quality control reports to ensure...
. Advise clients on regulatory matters and best practices in financial reporting. Supervise and mentor audit professionals... industry with private equity, hedge fund, and broker-dealer background. Strong knowledge of auditing standards, financial...
of one or more of the following categories of regulations or subject matters: · Banking regulations · Broker-Dealer and Swap Dealer... and regulations (LRR) and work closely with CPL Regulatory Watch team assessing the impact of regulatory changes and leading...
regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory..., 14, 52, 53 required; other regulatory licenses desired At least 7 years working for a broker-dealer, with at least 5...