Seeking a Regulatory Reporting professional. Responsibilities include: Preparation of daily 15c3-1 daily net capital... computation for US Broker Dealer. Weekly and month end preparation of the 15c3-3 customer reserve calculation. Compute moment...
to work with a leading Broker-Dealer Regulatory & Compliance practice, advising financial institutions on complex regulatory... matters, compliance obligations, and enforcement actions. Key Responsibilities Advise on broker-dealer regulatory...
of the US broker-dealer business model and regulatory environment Monitor and analyze financial performance metrics...Position Overview: The focus of the Controller will be Squarepoint's newly acquired broker dealer. The ideal...
including trade booking, reconciliation, confirmation, cash flow management, and regulatory reporting. Engage with vendors...
of reporting requirements set by FINRA, the SEC, and other regulatory entities. Solid grasp of broker-dealer accounting principles... 27 FinOp Licensing, Submission of Regulatory Filings for Broker Dealer Members.: They are looking for a Regulatory...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders.... About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for the execution...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders.... About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for the execution...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders.... About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for the execution...
compliance risk assessments of various U.S. entities, including SMBC's broker-dealer, swap dealer, and bank branches. Analyze... practices, enhance swap dealer obligation data quality and reporting, and drive compliance risk and control assessments...
/dealer regulatory reporting role. FINRA Series 99 required, FINRA Series 27 is strongly preferred. Knowledge of Broker... is responsible for ensuring compliance with the regulatory capital and customer protection rules as related to its broker dealer...
/dealer regulatory reporting role. FINRA Series 99 required, FINRA Series 27 is strongly preferred. Knowledge of Broker... is responsible for ensuring compliance with the regulatory capital and customer protection rules as related to its broker dealer...
or related position). Experience with broker dealer activities Experience with GAAP Accounting Standards US CPA certificate...Job Title: Accounting Financial Reporting consultant Position Type: Contract Location: New York, NY 10019, United...
support within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer, swap dealer, derivative dealer...Treasury Director, Data and Reporting Job Description Mizuho Capital Markets Treasury is seeking a Director...
to reconcile fee discrepancies and ensure timely receipt of outstanding brokerage fees Support regulatory reporting validations...+ years of experience in a trade support or operations role at a broker-dealer, bank, or trading firm Strong knowledge...
: If you have not worked in a Broker-Dealer (Brokerage Firm) you do not meet the required criteria so please "DO NOT APPLY". The right... office. Handles reporting of work compensation, auto, and liability accidents, and investigations of those claims...
institution such as a broker/dealer and/or registered investment adviser. For Wealth Management Compliance roles, experience... which both adheres to the regulatory requirements and ensures business continuity. WHAT WILL YOU DO? Reviews/challenges compliance...
institution such as a broker/dealer and/or registered investment adviser. For Wealth Management Compliance roles, experience... which both adheres to the regulatory requirements and ensures business continuity. WHAT WILL YOU DO? Reviews/challenges compliance...
of equity experience with a U.S. broker-dealer or investment bank; Extensive knowledge of FINRA and SEC rules and regulations..., understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research...
including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various..., reporting and other administrative and management tasks pertaining to equity & futures. Direct experience auditing...
of Financial Industry Regulatory Authority, Securities and Exchange Commission (SEC), broker dealer regulations and other relevant... of all stakeholders including regulatory authorities and overseeing the remediation of findings and accurate regulatory reporting...