Broker-Dealer Regulatory Reporting Specialist
AllianceBernstein L.P.
AllianceBernstein L.P. in Nashville, TN is seeking a Nashville-based associate for Broker Dealer Operations focusing on Regulatory Reporting, SOX and audits, and client reporting. The role collaborates with legal/compliance, internal audit, risk management, back-office, and technology teams to deliver accurate reporting for private wealth clients and the broker-dealer. Strong analytical, communication, and discretion are essential, with 5–10 years in the financial sector. #J-18808-Ljbffr AllianceBernstein L.P.
- Who You’ll Work With We are seeking a Nashville, TN based associate to join our Broker Dealer and Regulatory Reporting group in Broker Dealer Operations, with a concentration of responsibilities in Regulatory Reporting including but not limited to FINRA rules and regulations...Suggested
- ...Management is seeking a senior Compliance professional to cover the broker-dealer and investment adviser compliance program within the... ...knowledge of SEC/FINRA rules, and experience with complaint handling, reporting, and #J-18808-Ljbffr Rockefeller Capital ManagementSuggestedWork at office
- ...Under general supervision, uses knowledge and skills obtained through education, training, and experience to support broker/dealer regulatory reporting activities. The primary responsibility of this role is to prepare and support the customer reserve calculation in accordance...SuggestedWork experience placementWork at office
$150k - $180k
...for this role. Job Description: We are seeking a highly experienced and detail-oriented VP candidate to support our Broker‑Dealer Regulatory Reporting team. This role is responsible for the preparation, review, and oversight of all SEC financial responsibility rule reporting...SuggestedWork experience placementWork at officeLocal areaWork from homeFlexible hours- 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 protection reserve compliance under SEC rules. The role involves partnering with business units and technology to strengthen...Suggested
$125k - $165k
...financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage —... ...post-trade processing, exceptions, and regulatory operations. Experience supporting... ...documentation, data gathering, reporting support, and responses to regulatory inquiries...Contract workWork at officeLocal area- ...management and compliance activities with our Broker-Dealer Trading Department. This role ensures adherence to regulatory requirements, internal policies, and industry... ...role in monitoring trading activity, regulatory reporting obligations, and supporting the firm’s risk...Work at officeRemote work
- Principal Global Investors seeks a BD Customer Experience Specialist I to support financial professionals and clients in the Broker Dealer Services space. You will help ensure information is complete, precise, and communicated across systems and processes. The role covers...Remote job
- InvestX Capital Ltd. seeks a driven National Accounts Associate to grow the U.S. Broker Dealer distribution channel. You will research target firms, identify key contacts, execute outbound campaigns, secure meetings, and move opportunities through the pipeline. Role involves...Remote job
- Title: Regulatory Reporting AssociateOffice Status: Hybrid-Jersey City 1-2x a weekSalary: $100,000-$130,000A midsized global investment bank is seeking a Regulatory Reporting Associate that will be involved in the preparation of BHC regulatory reports. This position will...
- Join JPMorganChase's Firmwide Regulatory Reporting & Analysis group, where you'll sit at the intersection of regulatory strategy, capital oversight, and enterprise-level reporting. This is an opportunity to shape how the firm meets its most critical regulatory obligations...Work at office
- ..., credits, assets, and disclosures, and maintaining escrow records. Daily tasks include assisting with escrows, closings, subordinations, and reporting, while addressing tax and insurance issues and supporting the Mortgage #J-18808-Ljbffr SAFE Federal Credit Union Inc.
- ...DFARS, AR 710-2, AR 735-5, and DA PAM 710-2-1. You will interface with the PBO, COR, and DCMA property personnel and use PIEE for reporting and recordkeeping. Responsibilities include inventories, audits, training site staff on property handling, maintaining SOPs, and producing...
- Responsibilities· Represent the Regulatory Reporting team in the New Products Committee, reviewing business line documentation, actively participating in stakeholder discussions, and assessing regulatory reporting impacts. Deliver clear, documented analyses of implications...Work at office
- ...money laundering, fraud, financial crime, regulatory compliance, and operational risks. This... ..., supports suspicious activity reporting requirements, and ensures compliance with... ...CAMS (Certified Anti-Money Laundering Specialist) CFCS (Certified Financial Crime Specialist...Full time
- ...brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy &... ...most trusted, innovative, liquidity and data solutions specialist.Role OverviewThe Regulatory Reporting Associate will be part of the Operational Controls...Flexible hours
- Zoetis seeks an Associate of Sustainability Reporting & Governance within the Finance-Controllers function. This newly created role supports mandatory sustainability reporting to ensure regulatory compliance and alignment with Zoetis' Driven to Care Sustainability Strategy...
- ...Director of HTK Operations to shape its operational framework for broker-dealer and RIA support. You will lead account onboarding, trading... ...technology teams to elevate data quality, performance, and regulatory readiness while developing a high-performing team across HTK...
- ...We are seeking an Accountant II – Finance to support the preparation of regulatory reports for a broker-dealer environment. This role plays a key part in transforming financial data into accurate, compliant regulatory reporting through data analysis, reconciliations,...Work at office
$7.25 per hour
...POKER ROOM DEALER-POKER-GM (ON-CALL / VARIES) Job Category : Gaming Operations Requisition Number : POKER003590 Posted : May 1, 2026... ...established safety guidelines, identifying potential safety hazards, and reporting same to the appropriate person for proper resolution. Maintain...Hourly payPart timeLocal areaShift work- Cornerstone Servicing, a division of Cornerstone Capital Bank, is seeking an Investor Reporting Analyst in Englewood, CO to prepare investor reporting for various deals and remittance types, from private actual/actual to complex private securities. You will review reconciliations...
- ...publications. About the Role We are looking for a driven, high-energy National Accounts Associate to support the growth of InvestX's U.S. Broker Dealer distribution channel. This is a prospecting-heavy sales role for someone who enjoys opening doors, making cold calls, finding...Work at officeRemote workHome office
$85k - $140k
...Controllers is to ensure that the firm meets the financial control and reporting obligations of a global, regulated and public financial... ...reputational and other risksJob SummaryAs a member of the Regulatory Reporting Controller team, you will play a critical role in analyzing...Full timeTemporary workPart timeWork experience placement- Join the Clean Energy Revolution Become a Compliance & Quality Reporting Advisor at Southern California Edison (SCE) and build a better tomorrow. This team helps ensure the quality and integrity of SCE’s construction and maintenance work across SCE’s territory. In this...Remote workRelocation
- Eastern Kentucky University seeks an Analyst, Compliance Reporting on a full-time basis at Richmond Campus. The role administers NSCH enrollment/degree reporting, ensuring accuracy and compliance with federal and state requirements. As liaison to IT and the Registrar's...Full timeWork at officeRemote work
- ...Services Group, Inc. seeks a Senior Business Analyst for its Finance organization, based in Pittsburgh, PA. The role combines regulatory reporting, financial analysis, data management, and process improvement while collaborating with Finance, Technology, and Risk teams....
- GoFundMe seeks an Analyst II to join its global Trust & Safety team, focusing on regulatory reporting and STR filings. You will interpret regulatory changes and help ensure compliance across products, policies, and communications. Responsibilities include preparing STRs...Remote job
- TP ICAP in Louisville, KY is seeking a Regulatory Reporting Associate to join the Operational Controls team. The role focuses on reconciliations and ensuring accuracy of books and records, with an anticipated start date of October 2026. You will perform daily and monthly...
- CVS Health Corporation is seeking a Business Analyst for Regulatory Reporting Solutions, primarily remote in the United States. The role supports PBM, Medicaid, and Licensure reporting processes by organizing inputs, maintaining documentation, and assisting with report...Remote job
$1,000 per month
...testing on various online casino platforms. Follow step-by-step instructions to complete assigned tasks. Record feedback and report bugs or usability issues. Provide detailed insights into your testing experience. Complete all testing assignments within set...Extra incomeTemporary workSecond jobCurrently hiringWork from homeFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Broker-Dealer Regulatory Reporting Specialist. Be the first to apply!



