Senior Regulatory Reporting Analyst - SEC/CFTC (Broker-Dealer)
Creative Solutions Services, LLC
Creative Solutions Services, LLC in Jersey City, NJ, is looking for a regulatory reporting professional to ensure compliance with SEC and CFTC regulations. The role involves preparing regulatory reports, monitoring changes in requirements, and supporting audits. The ideal candidate has over 5 years of experience in the Broker Dealer industry, strong knowledge of financial principles, and excellent analytical skills. Attention to detail is crucial for this position. #J-18808-Ljbffr
- ...Consulting Inc is looking for a Reporting Analyst II in Jersey City, NJ. The role involves supporting regulatory reporting operations and ensuring compliance with SEC and CFTC regulations. The ideal... ...candidate will have 5+ years in the Broker Dealer industry and strong...Suggested
- ...Russell Tobin is seeking an experienced Regulatory Reporting Associate to join our financial... ...regulatory reports, ensuring compliance with SEC and CFTC regulations, and aiding in accurate... ...over 5 years of experience in the Broker-Dealer industry and strong knowledge of accounting...Suggested
- ...& Assistance, Inc. (SGA, Inc.) is seeking a Regulatory Reporting Specialist for assisting in compliance with SEC & CFTC financial regulations. The role involves preparing... .... Candidates should have over 5 years in the Broker Dealer Industry, strong accounting knowledge, and...Suggested
$110k - $165k
Webull-Financial is seeking a hands-on Senior Accountant to manage complex areas of monthly... ..., and compliance for accurate financial reporting in a regulated environment. Candidates... ...accounting experience and familiarity with SEC/FINRA reporting requirements. A competitive...Senior$110k - $165k
...re looking for a hands-on Senior Accountant with broker-dealer experience to own complex... ...ensure accurate financial reporting in a regulated environment... ...environment Broker-Dealer & Regulatory Accounting Support... ...~ Familiarity with SEC / FINRA reporting...SeniorTemporary workWork at officeWorldwideMonday to Friday$110k - $165k
Webull Financial is seeking a Senior Accountant to manage the monthly close... ...include preparing financial reports, journal entries, and account reconciliations... ...experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting. Competitive...SeniorWork at office- ...professional in New York, NY, to ensure adherence to FINRA and SEC regulations governing broker-dealer activities. The role involves designing and maintaining robust compliance programs, overseeing regulatory reporting, and managing Written Supervisory Procedures. The ideal...
- ...An international consulting firm is seeking a Senior Business Analyst to lead the evolution of their regulatory and financial reporting platform. The role demands a strong financial background and substantial experience in managing reporting initiatives across complex...Senior
$43 - $61 per hour
...Pride Global is seeking a Regulatory Reporting Associate in Jersey City, NJ. This contract position... ...filings to ensure compliance with SEC and CFTC requirements while enhancing internal... ...over 5 years of experience in the Broker-Dealer industry and strong regulatory reporting...Contract work- Senior Regulatory Reporting Analyst, Long Island City City, NY, Tampa or Charlotte, NC (Hybrid) Contract Duration: 8+ Months Required Skills & Experience... ...with exposure to Basel III capital regulations, GAAP/SEC Reporting and stress testing frameworks like CCAR. Able to...SeniorContract work
- ...A global consulting firm is seeking a Senior Business Analyst to drive the evolution of its regulatory reporting platform. The ideal candidate will have over 7 years of experience in financial services and possess strong regulatory reporting knowledge. This role involves...Senior
- ...Regulatory Reporting Analyst Software Guidance & Assistance, Inc., (SGA), is searching for a Regulatory... ...reports in compliance with SEC & CFTC financial regulations and internal company... ...years of experience working in the broker dealer industry, preferably experience...Contract work
- ...AVP Regulatory Reporting Analyst Job Duration: 12 month Location: Jersey City NJ 07310 Job Description... ...reports in compliance with SEC & CFTC financial regulations and internal company... ...years of experience working in the Broker Dealer Industry, preferably experience...
- ...A financial consultancy firm is seeking a Senior Financial Reporting Associate in New York, NY. This hybrid role will focus on SEC reporting, including 10-Q and 10-K filings, and will require collaboration across teams to ensure accurate financial oversight. Candidates...Senior
- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience... ..., and/or sign FOCUS reports Support compliance with SEC Rule 15c3-3 and related broker-dealer regulations...Permanent employment
- ...financial services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role... ...strong expertise in broker-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant...SeniorWork at office
$100k - $150k
...An investment firm in New York is seeking a Financial Reporting Analyst to assist with SEC filings and GAAP disclosure. The ideal candidate will have a Bachelor’s degree in accounting, 2-5 years of experience, and a CPA qualification. Proficiency in Microsoft Excel and...Senior- ...A leading insurance organization in New York is seeking a Senior Regulatory Reporting Analyst. The role focuses on collaborating with various functions to ensure accurate and timely regulatory reporting. Candidates should possess strong data analysis and advanced Excel...Senior
- ...Chesapeake Utilities Corporation is seeking a Financial Reporting Analyst II who will play a vital role in the external financial reporting process. This senior-level position involves preparing SEC filings, coordinating with cross-functional teams, and leading audit...Senior
$150k - $185k
.... Purpose of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities... ..., as well as knowledge of various regulatory reporting requirements. Such guidance is tailored... ...Dealer regulatory bodies (e.g. FINRA, SEC). Adhere to the operational risk framework...Immediate start$120k - $150k
...Agricole SA is looking for a U.S. GAAP Accountant in New York, NY. This role involves the timely preparation and submission of U.S. regulatory reports, including Call Reports and BEA reports. The ideal candidate will have a Bachelor's in Accounting and 6-10 years of relevant...Senior- Security Based Swap Dealer Senior Compliance Officer Serve... ...firm’s compliance and regulatory obligations. About the... ...assist with the annual CCO report. Responsibilities... ...requests and examinations (SEC/FINRA) Assist... ...regulator, private firm, broker dealer or required Expert...SeniorFull time
$98.96k - $148.44k
...Support the analysis and submission of reports to various constituencies (local regulators, SEC, Fed, OCC, etc.) based on requirements such as US GAAP, US Regulatory, and local statutory reporting... ...events Produce metrics to senior management highlighting key issues...SeniorWork at officeLocal area$265k - $305k
...NACBA is seeking a Senior Vice President for Legal and Compliance to oversee PIMCO Investments LLC's broker-dealer operations. In this role, you will manage regulatory compliance and lead initiatives to ensure adherence to FINRA standards. The ideal candidate will have...Senior- ...submit for approval. • Prepare risk assessment and monitoring reports to the management. • Implement comprehensive risk management measures... ...from time to time. Requirements: • Relevant experience in Broker-Dealer Risk Department. • University degree with major in Risk...Senior
- ...A leading insurance organization in New York is seeking a Senior Regulatory Reporting Analyst to ensure accurate and timely reporting of data to insurance regulatory bodies. The successful candidate will have strong data analysis and Excel skills, along with experience...Senior
- ...Chesapeake Utilities Corporation seeks a Financial Reporting Analyst III to oversee external financial reporting, including SEC filings and quarterly earnings. This senior-level position requires 5+ years in public accounting and a strong understanding of U.S. GAAP. The...Senior
$78k - $103k
...in its people and their ability to drive real progress. Summary: The Senior Regulatory Analyst is responsible for ensuring the timely and accurate completion of insurance regulatory reporting, working closely with various business units to extract, analyze, and submit...SeniorWork at officeWorldwideShift work- ...organizations, capable of writing in 128 countries on 6 continents. Starr Insurance Companies is seeking an experienced Senior Regulatory Reporting Analyst with a deep insurance, and data analysis background. The Senior Regulatory Reporting Analyst will work in...SeniorWork at officeShift work
$100k - $120k
...Accounting Analyst/Sr. Analyst New York The Role The position is... ...corporate finance, financial reporting and investor relations functions... ...of quarterly and annual SEC filings (Form 10-Q, Form 10-K... ...oriented to meet time-sensitive regulatory and contractual requirements...SeniorTemporary workLocal area
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