The Regulatory Reporting Associate will play a key role in ensuring compliance with broker dealer financial regulations... working in broker dealer regulatory reporting inclusive of 15c3-1, 15c3-3, and FOCUS filings. FINRA Series 27 license or the...
, or Regulatory Audit within financial services. Proven experience auditing in a broker/dealer environment (capital markets...Internal Auditor Broker/Dealer & Capital Markets Location: New York City, NY On-site Requirement: Hybrid 2 3 days...
requirements for US branches and Broker Dealers. Swap Dealer reporting experience is a plus Excellent analytical, written, verbal...Finance | Accounting and Regulatory Policies | Accounting & Regulatory Policies Associate Manager | New York...
Job Description: Job Title: Regulatory Support Associate Corporate Title: Associate Location: New York, NY... Overview As a Regulatory Support Associate, you would be a member of the Business Supervisory Office (BSO) and work directly...
-Dealer back office functions and associated regulatory requirements. 3-7 years applicable experience in the area... securities. To date, Prometheum has built multiple broker-dealers traversing novel areas and a large technology stack...
equivalent. Intermediate to advanced understanding of Broker-Dealer back office functions and associated regulatory requirements... (DAS). To date, Prometheum has relied on its strong and diverse team to build multiple broker-dealers traversing novel areas and a large...
's Broker-Dealer entity. This role will focus heavily on issue management, governance coordination, reporting and execution... of key regulatory and risk management processes. This Associate will work closely with the team and senior stakeholders...
Advisory & Trust, and Insurance practice. Flagstar Advisors is a licensed broker-dealer and a member of the Financial.... Directly engages with Broker Dealer and Bank leaders on identified incidents and issues in root cause analysis, action plans...
with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. Knowledge... of experience with a registered US broker dealer or regulator. JD desirable but not required Knowledge of global financial...