VP, Broker-Dealer Regulatory Reporting — 15c3-3 SME
Taurus Search
Taurus Search seeks a seasoned VP, Broker Dealer Regulatory Reporting in New York to lead complex 15c3-3 customer reserve calculations and daily reporting processes. The ideal candidate has at least 5 years of experience preparing the 15c3-3 formula, familiarity with daily net capital (15c3-1), and a track record filing FOCUS reports (Series 27 a plus). The role offers a lucrative base salary with bonus and full benefits. #J-18808-Ljbffr Taurus Search
- Global Markets client, is seeking a VP, Broker Dealer Regulatory Reporting to join their growing team. The VP, Broker Dealer... .... The firm has just went from a weekly 15c3-3 calc to daily and will need this person to be an SME on the 15c3-3 customer reserve formula. The...Regulatory
- TD Bank Group in New York, NY seeks a high‑level VP to lead broker‑dealer regulatory reporting, ensuring accurate net capital computations and customer... ...The candidate will bring deep regulatory knowledge (15c3-1/15c3-3), proven experience with FINRA filings, and the...Regulatory
$150k - $180k
...highly experienced and detail-oriented VP candidate to support our Broker‑Dealer Regulatory Reporting team. This role is responsible for... ...capital computations under Rule 15c3-1 and the customer protection reserve formula under Rule 15c3-3. The VP will serve as a subject...RegulatoryWork experience placementWork at officeLocal areaWork from homeFlexible hours$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President... ...as a subject matter expert on 15c3-1 and 15c3-3 calculations, providing guidance and... ...$150,058.00-$204,296.00 1 week ago VP - Direct Lending Operations -...RegulatoryFull timeWork at officeRemote work- J.P. Morgan is seeking a Vice President for Pillar 3 Reporting within the Firmwide Regulatory Reporting & Analysis team in New York. You will lead the Pillar 3 reporting function and ensure compliance with Basel III requirements, while mentoring a high-performing team....Regulatory
- Atrium is seeking a Regulatory Reporting Director in New York to lead accounting and regulatory reporting for a U.S. broker-dealer, ensuring SEC/FINRA compliance and guiding strategic initiatives. You will manage a team, oversee net capital computations, and coordinate...Regulatory
$175k - $210k
...real estate company. They seek a VP, Legal Entity Controller & Regulatory Reporting (swaps team) to join their... ...financial reporting activities for broker-dealer and swap dealer entities in... ...experienceDerivatives knowledge required and 15c3-1 & 15c3-3 experienceBig 4...RegulatoryWork at officeRemote work$88k - $125k
...finance and be responsible for securities regulatory reporting with a specific focus on futures.... ...responsibilities including:Preparation of daily 15c3-1 daily net capital computation for all... ...and month end preparation of the 15c3-3 customer reserve calculation.Compute...RegulatoryFull timeWork at officeLocal areaRemote workWorldwide$100k - $110k
...work at a growing U.S. broker-dealer subsidiary of a global... ...validate the testing results Regulatory Responsibilities:... ...preparation of FINRA FOCUS Reports including the form X-17... ...with preparation of 15c3-1 Daily Net Capital... ...Customer Protection Rule 15c3-3 (weekly) for a self-...RegulatoryExtra incomeFor contractorsWork at officeLocal area- A leading financial consulting firm in New York is seeking an experienced Accounting Manager. This role involves managing regulatory reporting, financial statements compliance, and preparing detailed analyses for financial performance. The ideal candidate will have a BS...Regulatory
- Join the Firmwide Regulatory Reporting & Analysis (FRRA) team resides within Corporate Finance. The group is responsible for the execution and delivery... ...as they are published. As a Vice President of Pillar 3 Reporting within the Firmwide Regulatory Reporting & Analysis...Regulatory
- ...seeking a Compliance Examiner - Broker Dealer to conduct on-site and remote... ...risk identification, reporting, and collaboration with the Chief... ...across branches, supervising regulatory adherence and ensuring timely... ...FINRA Series 7/24 license and 3-5 years of related experience...RegulatoryRemote job
- A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position... ...firm policies and WSPs. Assist with regulatory reporting and exams Stay up to date on regulatory...Regulatory
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting... ..., updating policies, and handling regulatory reporting. This position offers an...Regulatory
$120.8k - $137.9k
...Surveillance Principal Associate (Broker-Dealer & Swap Dealer) About the... ...), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity... ...launches. Documentation & Reporting Maintain comprehensive, audit... ...experience At least 3 years of trade surveillance,...RegulatoryFull timePart timeLocal area- ...an established institutional broker-dealer that is seeking an experienced... ...matters. Oversee trade reporting requirements, including CAT,... ...senior management. Coordinate regulatory examinations, inquiries and interactions... .... Candidate profile At least 3 years of broker-dealer...RegulatoryWork at office
$85k - $125k
...and FINRA regulations, and preparing financial reports for a broker-dealer firm. Duties include general ledger accounting, regulatory filings (e.g., FOCUS reports), reconciliation... ...City Metropolitan Area $70,000.00-$80,000.00 3 weeks ago New York, NY $65,000.00-$75,000.00...RegulatoryFull time- A global financial services firm in New York is seeking an AVP - Securities Regulatory Reporting professional. This role focuses on preparing regulatory reports and ensuring compliance with securities regulations. Candidates should have a strong accounting or finance background...Regulatory
- ...client is a leading global broker-dealer, recognized for its ability... ...standards of financial and regulatory integrity. Operating in a fast... ...accurate financial reporting, strict compliance with regulatory... ...requirements (including 15c3-1 and 15c3-3). Oversee P&L and balance...RegulatoryFull timeWorldwide
- ...the Finance department of U.S. broker-dealer. This role is vital for... ...certification, preparation of financial reports and annual audited financial... ...reports as well as ancillary regulatory reporting that are required... ...(or related field) 3+ years of broker-dealer accounting...RegulatoryPermanent employment
- ...financial services company, is seeking a Broker-Dealer Accounting Senior Analyst in New York.... ...journal entries, annual audits, and regulatory reporting, contributing to accurate financials for... ...broker-dealer unit. The ideal candidate has 3+ years of financial-institution...Regulatory
$115k - $185k
About the Team: Mizuho Americas Finance - Financial Regulatory Reporting is a team responsible for the preparation of regulatory filings for multiple... ..., Europe and Asia. Mizuho Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment...RegulatoryFull timeWork at officeLocal areaRemote workWorldwide2 days per week3 days per week$200k - $240k
...wealth management ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the nuances of private market... ...market strategies, fund structures, distribution models, and regulatory considerations. Able to manage complex relationships across...RegulatoryFull timeWork at officeRemote work$185k - $242k
Director, Head of Markets Regulatory Affairs & Registrations (U.S. Broker-Dealer)Skip to main contentWe may use cookies and... ...'s regulatory affairs, regulatory reporting, licensing, and registration programs... ...pursuant to Section 3(a)(39) of the Securities and Exchange...RegulatoryWork at officeLocal areaRemote work$110.64k - $136.46k
...Role The Compliance Manager, Broker-Dealer & Investment Adviser is an essential... ...Retirement Compliance Team, reporting to the Compliance Lead (... ...program evolves alongside regulatory expectations. About The Team... ...designated days approximately 2‑3 days per week (or more...RegulatoryFull timeWork at officeLocal area2 days per week3 days per week- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company Founded 1989 Employees 5001-10,000 Categories...Regulatory
$220k - $250k
...live better. As Product Leader for our Broker-Dealer division (Custody, Trading, and Market Data... ...deliver innovative functionality within regulatory and technical constraints. ~ A self-... ...arrange next steps, which will include 3-4 sets of meetings with your future colleagues...RegulatoryTemporary workSummer holidayWork at officeLocal areaFlexible hours$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject... ...trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues...RegulatoryImmediate start- Marex seeks a seasoned Head of Broker Dealer Compliance to lead the Americas team. You will advise U.S. Broker Dealer businesses across... ...and Listed Options, navigating SEC, FINRA, OCC rules and regulatory reporting. The role emphasizes real-time advisory, risk-based...Regulatory
- ...NAM International division. This role supports the broker-dealer compliance program for DDLP and regulatory requirements across sales practices, licensing, testing... ...internal partners, prepare quarterly and annual reports, analyze regulatory changes, and drive strategic...Regulatory
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