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$115k - $180k
## Securities Regulatory Reporting Vice PresidentApplylocations: New York, NY (1271 AOA/6th Ave)time type: Full... ...id: R7109Description:* SEC 15c3-1 Ensures broker‐dealers maintain sufficient... ...of customer reserve computations (15c3‐3)* Monitor segregation of customer vs...RegulatoryExtra incomeWork at officeLocal areaRemote workWorldwide- 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
$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$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$65k - $150k
...largest banks in the world, with over $3 trillion in assets and a footprint that... ...of Bank of China U.S. branches’ regulatory reports to be filed with the Federal Reserve Bank... ...Bank to ensure transactions of pledged securities are completed in a timely manner and in...RegulatoryWork at office$77k - $98k
...Summary: The Financial Reporting Analyst reports to the Regulatory Reporting Manager and is... ...reports (including daily 15c3-1 daily net capital computation... ...Qualifications: ~1-3 years of Regulatory or... ...to Section 3(a)(39) of the Securities and Exchange Act of 1934 or...RegulatoryWork at officeLocal areaRemote work$95k - $115k
Job Title: Regulatory Reporting Associate Job Code: 13055 Country: US City: New York Skill Category... ...Operations related FOCUS Reporting (15c3-1 & 15c3-3). Team members will be exposed to a... ...Monthly FR2004 Primary Government Securities Dealers Reports. Work with the...RegulatoryWork at officeRelocation package$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 the... ...administrative support for AVP level; Minimum 1 years of experience...RegulatoryContract workWork at office- ...Regulatory Reporting Associate Prepare and review regulatory reports in compliance with SEC & CFTC financial regulations and internal... ...Broker Dealer Industry, preferably experience working with 15c3-1, 15c3-3 Customer Reserve, and FCM regulatory reporting inclusive...Regulatory
- ...The role supports a broker‑dealer regulatory reporting function, with responsibility for daily customer and PAB reserve calculations (Rule 15c3‑3) and review of daily Net Capital computations (Rule 15c3‑1). The position assists in the preparation, review, and analysis...Regulatory
$115k - $180k
The Mizuho Financial Group Inc. in New York is seeking a Securities Regulatory Reporting Vice President. In this role, you will ensure compliance with SEC regulations including maintaining liquid capital and preparing regulatory reports. You will contribute to daily reviews...Regulatory- Linium Resources, a large international financial services company, is seeking an AVP/Banking Reg Reporting Specialist in New York. The role involves preparing and reviewing diverse regulatory reports, including Call Reports and FRY Reports, while liaising with internal...Regulatory
$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$120k - $145k
AVP / Associate - Financial Operations Location: New York, NY Compensation... ...Operations to support regulatory capital reporting, customer reserve computations,... ...review of: Net Capital (Rule 15c3-1) computations Customer Reserve (Rule 15c3-3) calculations Support FOCUS reporting...Regulatory$250k
...products, and cross-border securities distribution (the... ...It relies on the Rule 15c3-3 exemptions under subparagraphs... ...year 2025, the firm reported total revenues of $140.... ...’s equity of $135.1 million, and net capital... ...million against a $250,000 regulatory minimum — an excess of...RegulatoryWork at office- MUFG Securities Americas Inc. is seeking a Financial Reporting Analyst to report to the Regulatory Reporting Manager. You will be responsible for preparing and filing financial regulatory... ...efforts. The ideal candidate will have 1-3 years of experience, a Bachelor’s degree...Regulatory
$230k - $270k
..., Direct-Hire, Minimum 1,850 hours annual billed... ...architectures and regulatory frameworks. Responsibilities... ...(D.C.). Three (3) to Five (5) Years of... ...Advanced familiarity with Securities and Exchange Commission... ...compliance, filings, and reporting requirements. A proven...RegulatoryFull 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
- ...Manager, U.S. Broker Dealer Regulatory Reporting Requisition ID: 257592 Salary Range... ...in the completion of the Securities Exchange Commission Regulation 15c3-3 Customer Reserve Requirement calculation... ...schedules, the daily 15c3-1 Net Capital Computation. The position...RegulatoryLocal areaFlexible hours
- Regulatory Attorney, AVP - Legal & Compliance - Credit Funds Locations: New York,... ...companies solve problems. Our $1.1 trillion in assets under... ..., state and international securities laws (including the Investment... ...including preparation of reports to the investment team and senior...RegulatoryFull timeWork at officeFlexible 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
- ...growth. Job Responsibilities Interpret regulatory issues, analyze technical data, and document... ...Environmental Health Specialist 1 - Bachelor’s degree from an accredited college... ...position. Environmental Health Specialist 3 - Bachelor’s degree with the same laboratory...RegulatoryRelocation package
$42k - $150k
...in the world, with over $3 trillion in assets and... ...the Branch and directly reports to the Branch BSA Officer... ...industry standard and regulatory guidance on a daily basis... ...equivalent fields preferred 1 year of BSA/AML/OFAC... ...experience required for AVP level Financial career...Regulatory- ...We are seeking a Reporting Analyst II to support regulatory reporting operations within a fast-paced financial services environment. This position... ...Dealer industry Strong experience with: SEC Rule 15c3-1 SEC Rule 15c3-3 Customer Reserve FCM regulatory reporting and CFTC...Regulatory
- ## Information Security Compliance ConsultantApplyremote type... ...worldwide team helps over 3 million companies, more than 1,300 financial institutions... ..., best practices and regulatory changes to support decision... ...security behaviors.* Tracks and reports the effectiveness of...RegulatoryH1bWorldwide
$115k - $130k
Senior Security Compliance Analyst (Remote - US) Senior... ...Provide executive-level reporting on residual risk,... ...automatically shortlist the 3 candidates with the highest... ...$70,800.00-$113,200.00 1 week ago United States... ...-$75,000.00 2 days ago Regulatory Compliance Analyst -...RegulatoryRemote jobFull timeWorldwideFlexible hours- ...all the financial control and reporting obligations of a global,... ...forecasting, and reporting of various regulatory and internal capital metrics... ...preferred, but not required 1-3 years relevant experience... .... We provide Global Medical, Security and Travel Assistance and a...RegulatoryFull timeTemporary workWork at office
$75k - $80k
Security Supervisor - CARES Department Job Summary Oversees... ...systems. Deter and report criminal activity, policy... ...Qualifications & Requirements Regulatory Requirements &... ...Certification (or acquire within 1 year) NY State‑issued... ...enforcement, including 3 years in a supervisory...RegulatoryFull timeWork at officeLocal areaShift workNight shift
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to AVP, Securities Regulatory Reporting (15c3-1/3). Be the first to apply!
- regulatory contract New York, NY
- regulatory coordinator New York, NY
- regulatory technician New York, NY
- regulatory accountant New York, NY
- food regulatory New York, NY
- regulatory scientist New York, NY
- regulatory law New York, NY
- regulatory executive New York, NY
- regulatory engineer New York, NY
- regulatory New York, NY

