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.
Vacancy posted 4 days ago
Similar jobs that could be interesting for youBased on the AVP, Securities Regulatory Reporting (15c3-1/3) in New York, NY vacancy
$91k - $125k
...accounting / finance and be responsible for securities regulatory reporting with a specific focus on futures.... ...Preparation of daily 15c3-1 daily net capital computation for all... ...and month end preparation of the 15c3-3 customer reserve calculation. Compute...RegulatoryWork at officeLocal areaRemote work- ...Financial Institution, is looking for an AVP to join their growing Broker Dealer Regulatory Reporting team. This firm is offering, great work life... ...Preparation of the daily net capital (15c3-1) and customer reserve formula (15c3-3) Assist with the monthly Focus filing...RegulatoryWork at office
$65k - $150k
...Bank Of China Information Security Officer Established... ...the world, with over $3 trillion in assets and... ...arising from Audit and Regulatory exams, ITRM deep dives,... ...Metrics & Reporting ~ Manage all metrics... ...and policies Minimum 1 year of experience working...RegulatoryWork experience placementWork at officeBank of China
New York, NY5 days ago- ...Information Technology Services 1, Information Security, SG-27, will direct and... ...cybersecurity best practices, and regulatory requirements. Assist each... ...security concerns and report incidents to the applicable... ...annually for PEF. Up to three (3) days of professional leave...RegulatoryWork at office
$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$91k - $140k
Financial Regulatory Reporting - AVP page is loaded## Financial Regulatory Reporting - AVPlocations: New... ...products (e.g. loans, deposits, securities, derivatives, money market products, repos... ...Mizuho Americas employs approximately 3,500 professionals, and its capabilities...RegulatoryWork at officeLocal areaRemote workWorldwide2 days per week3 days per week- ...seeks an Assistant Vice President for Enterprise Reporting & Analytics in New York. The role involves preparing U.S. financial regulatory reports, ensuring compliance with accounting... ...have an accounting or finance degree and 3-5 years of experience in financial services....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- 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 of...Regulatory
$200k - $250k
...senior Financial Operations leader to oversee core regulatory reporting, capital management, and operational control functions... ...Oversee preparation and review of Net Capital (Rule 15c3-1) and Customer Reserve (Rule 15c3-3) computations Lead FINOP-related reporting...Regulatory$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$141.11k - $235.15k
...strategic development of its securities lending operations program, encompassing... ..., Legal, Technology, Credit, Regulatory Reporting, and Finance, as well as with... ...practices of approximately 1,100 financial institutions,... ...custodying approximately $2.3 trillion in brokerage and...RegulatoryWork from homeLPL Financial Holdings, Inc.
New York, NY2 days ago$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 -...RegulatoryFull timeRemote workWorldwideFlexible hoursJobgether
New York, NY1 day ago- * **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
- 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
- ...oversee compliance with SEC Rule 15c3-3, including customer reserve... ...reconciliations.* Assess the regulatory impact of new products, business... ...develop a team of Regulatory Reporting junior staff members.* FOCUS... ...expertise with SEC Rules 15c3-1 and 15c3-3.* Extensive experience...RegulatoryTemporary work
$92k - $134k
...President, Global IT Audit PMO - Reporting & Analytics Enablement, is a... ...activities ~2-3 years hands-on experience creating... ...to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section... ...of the Financial Industry Regulatory Authority (FINRA) and the...RegulatoryWork at officeLocal areaRemote workMUFG Bank, Ltd.
New York, NY2 days ago$130k - $159k
...We are seeking an AVP settlement system support... ...in trade flows, securities processing, cash... ...integrity, and ensure regulatory compliance. Strong... ...or regulatory reporting. Perform daily batch... ...office 4 days onsite/1 day Remote. The... ...to Section 3(a)(39) of the Securities...RegulatoryWork experience placementWork at officeLocal areaRemote workMUFG Bank, Ltd.
New York, NY4 days ago$150k - $180k
...to support our Broker-Dealer Regulatory Reporting team. This role is... ...capital computations under Rule 15c3-1 and the customer protection... ...reserve formula under Rule 15c3-3. The VP will serve as a subject... ...operations, including securities clearance and settlement, margin...RegulatoryWork at officeLocal areaWork from homeFlexible hoursTD Bank
New York, NY3 days ago- ...Data Security Governance Analyst The Data Security... ...alignment, and governance reporting, working closely with... ...and technology teams. 1) Insider Risk Governance... ...requirements and regulatory expectations. Assist in... ...secure data handling. 3) Familiarity with information...Regulatory
eTeam
Jersey City, NJ12 days ago $135k - $200k
...companies solve problems. Our $1.1 trillion in assets under... ...and corporate teams to prepare regulatory reports and filings (e.g., Forms ADV,... ...:*** An attorney with 3+ years of experience at a law... ...federal, state and international securities laws (including the Investment...RegulatoryLocal areaFlexible hours- ...Role: Cloud Security Implementation Lead OR Architect... ...candidates ONLY) Duration: 1+ years Moi: Videos... ...engineering. ~3+ years of hands-on AWS... ...compliance frameworks and regulatory requirements.... ...Excellent communication and executive reporting skills...Regulatory
InterSources
New York, NY4 days ago $74.29k
...Brooklyn College seeks a temporary to permanent Level 1, 2 or 3 Project Manager. Reporting to the Director of Facilities Planning, the Project Manager... ...current knowledge with of technological and regulatory developments in environmental sustainability and facilities...RegulatoryPermanent employmentFull timeContract workTemporary workPart timeFor contractorsWork experience placement$64.07k - $99.79k
...The Senior Compliance Reporting Specialist will be responsible for ensuring... ...with company policies and regulatory requirements. Identify and... ...York, NY $70,000.00-$85,000.00 1 month ago Texas, United States... ...States $60,000.00-$70,000.00 3 days ago United States $80,50...RegulatoryFull timeWork experience placementImmediate startRemote workCONMED Corporation
New York, NY1 day ago- ...Senior Data Engineer - Regulatory Reporting Location: Jersey City, NJ - 3 days/week onsite 6 months We are seeking a Senior Data Engineer for... ...Reg teams to support: • Regulatory reporting (SEC 15c3 1 and 15c3 3) • Financial reconciliations and FP&A...RegulatoryFor contractors3 days per week
E-Solutions
Jersey City, NJ3 days ago - ...Neos is seeking a Cloud Security Engineer with Splunk experience... ...development, dashboard/report creation, alerting, and... ...security operations. 3 Years – Required Proven... ...operations, regulatory compliance, cloud security... ...Microsoft Azure environments. 1 Year – Preferred Experience...RegulatoryLong term contractContract workRemote work
Neos Consulting
New York, NY1 day ago - Capital Markets / Securities Associate Attorney Location: New York A... .../ Securities Associate with 3+ years of experience to join... ...disclosure obligations, and ongoing reporting requirements Support... ...complex strategic transactions and regulatory matters What We’re Looking...Regulatory
$130k - $160k
...to optimize financial reporting and analysis. Provide... ...including auditors and regulatory bodies. MPI does not... ...settlement cycles (e.g., T+1/T+2), including DVP/... ..., including: U.S. securities laws and regulatory... ...asset protection (Rule 15c3-3), net capital (Rule 15...RegulatoryLocal areaMichael Page International Inc.
New York, NY3 days ago$100k - $135k
...Surveillance team. Preferred 3-5 years of experience in surveillance... ...as necessary • Conduct reporting and / or meaningful analysis at... .../procedures and applicable regulatory guidelines • Keep abreast of emerging... ...:**Never: 0%; Occasional: 1-33%; Frequent: 34-66%;...RegulatoryTemporary workWork experience placementWork at office$42k - $150k
...Institutions Department - Credit AVP/Associate Join to apply... ...the world, with over $3 trillion in assets and... ...relationship reviews Report any findings that may... ...policies, procedures and regulatory requirements Report any... ...for AVP; At least 1 year of work experience...RegulatoryFull timeWork experience placement
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!
Related searches
- regulatory accountant New York, NY
- food regulatory New York, NY
- regulatory New York, NY
- regulatory coordinator New York, NY
- regulatory technician New York, NY
- regulatory contract New York, NY
- regulatory executive New York, NY
- regulatory scientist New York, NY
- regulatory law New York, NY
- regulatory engineer New York, NY