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
$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- ...Manager, U.S. Broker Dealer Regulatory Reporting Requisition ID: 257592 Salary Range: - Please note that the Salary Range shown is a guideline... ...of the Securities Exchange Commission Regulation 15c3-3 Customer Reserve Requirement calculation. The position is...RegulatoryLocal areaFlexible hours
- Taurus Search, a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-life balance and hybrid work. Key responsibilities include preparing the daily net capital and customer...Regulatory
- ...a professional in New York, NY to oversee compliance with broker-dealer regulatory capital requirements. You will perform daily regulatory capital... ...candidate has 7-12 years of experience in regulatory reporting or financial reporting, with a degree in Accounting or Finance...Regulatory
- Larson Maddox is seeking a Regulatory Reporting Specialist in New York, NY. This role involves daily customer and PAB reserve calculations, preparation and analysis of FOCUS reports, and collaborating with front-office, operations, and control teams on regulatory matters...Regulatory
- Scotiabank is seeking a Manager for U.S. Broker Dealer Regulatory Reporting in New York, responsible for the 15c3-3 Customer Reserve Requirement calculation and regulatory reporting analysis. The ideal candidate will have a Finance or Accounting degree, 5-10 years of relevant...Regulatory
- ...function in New York, responsible for net capital computations, regulatory reporting, and leading a team. The ideal candidate should have an accounting or finance degree, proven expertise in U.S. broker-dealer accounting, and exceptional communication skills. This...Regulatory
- ...approach to risk management, regulatory compliance, and responsible... ...week Exposure to complex broker-dealer regulatory requirements and... ...control assessments, regulatory reporting, and remediation initiatives... ...compliance with SEC Rule 15c3-3, internal policies, and applicable...RegulatoryPart time
- ...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...Regulatory
$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...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$91k - $125k
...finance and be responsible for securities regulatory reporting with a specific focus on futures.... ...Responsibilities Preparation of daily 15c3-1 daily net capital computation for all... ...Weekly and month end preparation of the 15c3-3 customer reserve calculation. Compute...RegulatoryWork at officeLocal areaRemote work- 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
$213.31k - $355.45k
...General Counsel. This SVP will report to the Executive Vice... ...team focuses primarily on LPL’s broker-dealer and custodial platform business... ...leadership, shaping legal and regulatory strategy for LPL’s broker-dealer... ...custodying approximately $2.3 trillion in brokerage and...RegulatoryWork from home- Insight Global is seeking an experienced Regulatory Project Manager for a financial services... ...leading the implementation of SEC Rule 15c3-3 and managing the full project lifecycle... ...groups, tracking budgets, and delivering project reports. #J-18808-Ljbffr Insight GlobalRegulatory
- ...primarily working remotely with in-office attendance required 2-3 times a week. Ideal candidates have over 3 years of... ...role includes providing feedback to product development teams and ensuring compliance with regulatory reporting. #J-18808-Ljbffr Framework VenturesRegulatoryRemote jobWork at office
- 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
- ...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
$110k - $165k
...hands‑on Senior Accountant with broker‑dealer experience to own complex... ...to ensure accurate financial reporting in a regulated environment.... ...environment Broker‑Dealer & Regulatory Accounting Support preparation... ...risk The Skills You Bring 3-7+ years of accounting experience...RegulatoryTemporary workWork at officeWorldwideMonday to Friday- ...professionals for this role. JOB DESCRIPTION Join the NA Broker Dealers and Market Structure Payments Sales team! As a Payments... ...communication and negotiation skills. ~ Understanding of the regulatory and compliance environment in the market with strong experience...RegulatoryOverseas
$115k - $180k
Description SEC 15c3-1 Ensures broker‑dealers maintain sufficient liquid capital to... ...reserve computations (15c3‑3) Monitor segregation of customer... ...Part IIA and supplemental reports such as Supplemental... ...as well as local laws and regulatory obligations. Roles in some...RegulatoryExtra incomeWork at officeLocal areaRemote work- ...be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry... ...Stay informed about the evolving economic, legislative, and regulatory environment that impacts the financial institution sector Provide...Regulatory
- ...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
$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- Abacus Group, LLC is seeking a VP, Legal Entity Controller & Regulatory Reporting for their Manhattan, NY office. The... ....S. GAAP financial reporting for broker-dealer and SBSD entities and collaborate... ...knowledge of derivatives, SEC Rule 15c3-1, and experience in fast-paced...RegulatoryWork at office
$110k - $140k
...Analyst, Sales & Trading (US Equities/Options Broker-Dealer) New York, NY Galaxy is a global... ...with best execution standards and regulatory requirements across all trade flows.... ...Arrangements ~ Flexible Time Off (paid) ~3% 401(k) company contribution ~ Company...RegulatoryWork at officeLocal areaFlexible hours$115k - $125k
...Accountant in New York City to oversee financial reporting, fund accounting, and compliance functions... ...with various teams, and ensuring accurate regulatory reporting. Ideal candidates will have a Bachelor's degree and at least 3 years of relevant experience. The position...Regulatory- ...Assistant General Counsel, Capital Markets, Broker-Dealer & FinTech About the Company... ...admission to the New York bar, and a minimum of 3 years' of legal experience, with at... ...regulations, capital markets transactions, and regulatory compliance. The ideal candidate will...Regulatory
$85k - $125k
Confidential in New York seeks a Compliance Associate with 1-3 years of experience to assist in broker-dealer compliance and asset management. Responsibilities... ...have the necessary licenses and familiarity with regulatory requirements. The expected salary range is $85,000-...Regulatory
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