AVP, Securities Regulatory Reporting (15c3-1/3)
Mizuho Financial Group Inc.
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, with proficiency in Microsoft Excel. A bachelor's degree and Series 27 certification are preferred. The position offers competitive salary and benefits, with hybrid work options available. #J-18808-Ljbffr Mizuho Financial Group Inc.
$91k - $125k
AVP - Securities Regulatory Reporting (15c3-1 and 15c3-3) page is loaded## AVP - Securities Regulatory Reporting (15c3-1 and 15c3-3)locations: New York, NY (1271 AOA/6th Ave)time type: Full timeposted on: Posted Todayjob requisition id: R6952**Summary:**In this position...RegulatoryWork at officeLocal areaRemote workWorldwide$65k - $150k
...in the world, with over $3 trillion in assets and a... ...technical perspective the reports automation and data analysis... ...evaluations against the RDA regulatory requirements Contribute... ...Master’s degree preferred 1+ years (Associate) or 4+ years (AVP) of data analysis,...RegulatoryWork at office$91k - $125k
Mizuho in New York, NY is seeking a Regulatory Reporting professional to manage securities regulatory reports. Responsibilities include daily computations, preparation of customer reserve calculations, and compliance documentation. Ideal candidates will have a Bachelor...RegulatoryRemote job- ...preparation and review of the FOCUS Report and other regulatory filings. Prepare and/or review... .... Experience within the securities industry or broker-dealer regulatory... ...required. Familiarity with SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Protection Rule), 17a...RegulatoryExtra incomeWork at office
$77k - $98k
MUFG Bank, Ltd in New York is seeking a Regulatory Reporting Analyst to prepare and file financial regulatory reports. The role requires 1-3 years of experience in regulatory or accounting, with a Bachelor's in accounting or finance. The ideal candidate should be proficient...RegulatoryRemote job1 day per week$77k - $98k
## Regulatory Reporting AnalystApplylocations: New York, NYtime type: Full timeposted... ...reports (including daily 15c3-1 daily net capital... ...project.**Qualifications:*** 1-3 years of Regulatory or Accounting... ...to Section 3(a)(39) of the Securities and Exchange Act of 1934 or...RegulatoryWork at officeLocal areaRemote work$65k - $150k
...the world, with over $3 trillion in assets and... ...fulfill BOCNY information security program requirements.... ...Training & Culture, Metrics & Reporting, Governance, Risk... ...arising from Audit and Regulatory exams, ITRM deep dives,... ..., and policies Minimum 1 year of experience...RegulatoryWork experience placementWork at office$42k - $150k
...the world, with over $3 trillion in assets... ...attendance for compliance and reporting purposes. Maintain... ...have a business or regulatory record-keeping... ...with all technology security policies. Serve as... ...administrative support for AVP level; Minimum 1 years of experience...RegulatoryContract workWork at office- 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
$175k - $210k
...estate company. They seek a VP, Legal Entity Controller & Regulatory Reporting (swaps team) to join their Manhattan, NY office.ResponsibilitiesManage... ...of relevant experienceDerivatives knowledge required and 15c3-1 & 15c3-3 experienceBig 4 experienceDirect experience with swaps...RegulatoryWork at officeRemote work$70k - $140k
...all administrative and reporting needs to record keep... ...compliance with global regulatory tax, and securities requirements, including... ..., and Qualifications:3-5 years at the Associate... .../ 5-7 years at the AVP level of relevant financial... ...80,000 employees in 1,200 offices across 42...RegulatoryTemporary workWork at office$250k
...Winning Firm: Multiple Tier 1 Ranked Practices... ...and private companies on securities offerings, including... ...registration statements (S-1, S-3), Form 10-K, 10-Q, 8-K... ...16 filings. Handle Regulatory Matters: Support... ...policies, and regulatory reporting requirements. The Package...Regulatory$75k - $95k
...financial and investor reporting across a range of alternative... ...standards and regulatory requirements. The role will... ...statements and coordination of K-1 inputs Analyze... ...related business field. ~3 to 8 years of relevant... ...: $75,000 - $95,000 AVP: $100,000 - $120,000...RegulatoryPermanent employmentFull timeWork at officeImmediate startFlexible hours3 days per week- The Non-Depository and Securities Compliance Examiner 1 works for the PA Department of Banking and Securities in Harrisburg to identify and correct... ...review, investigating violations, assessing regulatory compliance, analyzing financial statements, and researching...RegulatoryFull timeWork at officeRelocation
- Preparation of Daily 15c3-3 customer and PAB calculations Review of Daily 15c3-1 Net Capital Computation Preparation and Presentation of Monthly Focus Report to Senior Management Work closely with... ...Requests Actively participate in Regulatory and Financial Audits Enhance...Regulatory
- ...in New York, NY seeks a high‑level VP to lead broker‑dealer regulatory reporting, ensuring accurate net capital computations and customer... ...integrity. The candidate will bring deep regulatory knowledge (15c3-1/15c3-3), proven experience with FINRA filings, and the ability to...Regulatory
- ...Title : IT Security Specialist Location : New... ...Responsibilities 1. Cyber Compliance & Governance... ..., city policies, and regulatory requirements. •... ...• Provide compliance reporting and status updates to leadership... ...progress. 3. Vulnerability Management...RegulatoryContract workMonday to Friday
$230k
...Description Program Manager for Cyber Security and Reporting Programs-ED and VP Level MUST be local to New York City, Hybrid Schedule, 3 Days Onsite Executive Director: up... ...alignment with CISO's Cyber Security Strategy, regulatory expectations and industry best practice...RegulatoryWork at officeLocal area$140k - $200k
AVP, Global Tax Compliance (Multi-Asset) $140,000... ...best practices for tax reporting while collaborating closely... ..., and Schedule K-1 production for various... ...fund assets. Trading & Securities Tax Adjustments: Monitor... ...tax authority notices or regulatory audits across multiple...RegulatoryWork at officeLocal areaShift work$91k - $140k
...TeamMizuho Americas Finance - Financial Regulatory Reporting is a team responsible for the... ...financial products (e.g. loans, deposits, securities, derivatives, money market products, repos... ...Mizuho Americas employs approximately 3,500 professionals, and its capabilities...RegulatoryFull timeWork at officeLocal areaRemote workWorldwide2 days per week3 days per week$230k - $270k
...legal talent. § Title: Securities & Capital Markets... ..., Direct-Hire, Minimum 1,850 hours annual billed... ...corporate architectures and regulatory frameworks. Core... ...(D.C.). ⨖ Three (3) to Five (5) Years of... ...compliance, filings, and reporting requirements. ⨖ A proven...RegulatoryFull time- Nomura is seeking a detail‑oriented Operations Control QA professional to support FED 2004 Primary Dealer Reporting and related 15c3-1/15c3-3 filings. The role involves collaborating with Middle Office and Shared Services to analyze MIS decks and ensure data accuracy across...RegulatoryWork at office
$92k - $134k
...President, Global IT Audit PMO - Reporting & Analytics Enablement, is a... ...or governance activities2-3 years hands-on experience creating... ...to Section 3(a)(39) of the Securities and Exchange Act of 1934 or... ...of the Financial Industry Regulatory Authority (FINRA) and the National...RegulatoryFull timeWork at officeLocal areaRemote work$91k - $121k
...The Triparty Allocation Associate/AVP is responsible for managing and... ...efficiently allocated, monitored, and reported in compliance with regulatory requirements and internal... ...disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section...RegulatoryFull timeWork at officeLocal areaRemote workDay shift- Securities & Derivatives Analyst 1 - C09 - SHANGHAI Job Req Id: 26984416 Location: Shanghai, Shanghai Municipality... ...collaborate on a solution Perform regulatory controls, account reconciliations,... ...internal and external regulatory reports Participate in the periodic General...RegulatoryDaily paidFull time
- * **Regulatory Requirements & Certifications:*** Complete or... ...(or acquire within 1 year) + NY State-issued... ...Outlook), Google Docs, and security software platforms.* Able... ...and write clear incident reports.* Comfortable testifying... ...enforcement, including 3 years in a supervisory...RegulatoryWork at officeNight shift
$96.33k - $208.71k
...organizes data into meaningful reports for management decision... ..., Vice Presidents and AVPs across the enterprise to... ...plan, budget, and regulatory requirements Sets direction... ...Experience Minimum 3 years management experience... ...and Analytics Minimum of 1 year experience in...RegulatoryRemote jobWork experience placement- ...Regulatory Reporting Analyst Are you looking for a new challenge to grow an exciting... ...interview process: Step 1: After you apply, our HR... ...interview with 1-2 people. Step 3: If you continue through the... ...risk management simple, secure, and globally compliant. Why...RegulatoryFull timeWork experience placementRemote workFlexible hours
- A leading global financial institution is seeking a Regulatory Reporting AVP to join its Financial Regulatory Reporting team. This position will... ...of banking products including loans, deposits, securities, derivatives, repos, and money market instruments. Advanced...Regulatory
$170k - $230k
...experienced and strategic leader to serve as the Head of Regulatory Reporting. This individual will oversee all aspects of U.S. broker-dealer... ...responsibility for the firm’s compliance with SEC Rules 15c3-1, 15c3-3, 17a-5, and related filings. Key Responsibilities: Lead...RegulatoryFull time
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