Regulatory Reporting Specialist - Broker-Dealer
Russell Tobin
Russell Tobin is seeking an experienced Regulatory Reporting Associate to join our financial services team in Jersey City, NJ. This role involves preparing and reviewing regulatory reports, ensuring compliance with SEC and CFTC regulations, and aiding in accurate financial reporting. The ideal candidate will have over 5 years of experience in the Broker-Dealer industry and strong knowledge of accounting standards and regulatory reporting systems. Benefits include comprehensive healthcare, 401(k), life insurance, and more. #J-18808-Ljbffr
- ...FINOP / Broker-Dealer Regulatory Reporting Consultant Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements...SuggestedPermanent employment
- ...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...Suggested
- ...VP Candidate For Broker-Dealer Regulatory Reporting Team 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...SuggestedWork at office
$150k - $180k
...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...SuggestedWork at officeLocal areaWork from homeFlexible hours- 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...Suggested
- ...TD Bank in New York is looking for a highly experienced VP candidate for their Broker-Dealer Regulatory Reporting team. This role involves overseeing SEC financial rule reporting, managing net capital computations, and ensuring compliance with regulatory requirements....
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first 25 applicants... ...-Davis, LLC by 2x Get notified about new Regulatory Specialist jobs in New York City Metropolitan Area . Corporate Vice...Full timeWork at officeRemote work$200k - $225k
Tensec is looking for a Director - Broker-Dealer FINOP to oversee regulatory financial reporting for their Broker-Dealers. The role focuses on compliance and support for the Company's growth strategy. Ideal candidates should have over 8 years' experience in finance, specifically...- ...A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of... ...surveillance of trading activity, updating policies, and handling regulatory reporting. This position offers an opportunity to stay engaged with...
- ...A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker... ...activity. Update firm policies and WSPs. Assist with regulatory reporting and exams Stay up to date on regulatory developments. You...
$150k - $185k
Purpose of Role Marex is a seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is meant to be a subject... ...trading activities, as well as knowledge of various regulatory reporting requirements. Such guidance is tailored to resolving issues...Immediate start- ...Description Job Description Self-Clearing Broker Dealer seeks experienced Chief Compliance... ...preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer... ...compliance issues and changes in regulations, reporting their impact on the organization to...
- ...Street is seeking an experienced Financial Reporting Manager. The ideal candidate will be a... ...experience, particularly in the Broker-Dealer sector. Responsibilities include overseeing... ...financial reporting, ensuring compliance with regulatory requirements, and managing the general...
- ...join their team in New York. The role involves supporting both broker-dealer and RIA operations while developing the compliance department... ...roles. You will work closely with various teams to provide regulatory guidance and improve compliance procedures. Atomic Invest promotes...
- ...New York Self Clearing Broker Dealer is seeking an Accounting Professional with Finance experience... ...‑motivated, team‑oriented Accounting Specialist. This coveted position has room for... ...of customer assets. Create management reports to monitor capital and liquidity on a daily...Permanent employmentTemporary work
- ...Software Guidance & Assistance, Inc. (SGA, Inc.) is seeking a Regulatory Reporting Specialist for assisting in compliance with SEC & CFTC financial... ...accuracy. Candidates should have over 5 years in the Broker Dealer Industry, strong accounting knowledge, and excellent analytical...
- ...BetMGM is seeking a Regulatory Incident Reporting Analyst based in Jersey City, New Jersey. The role involves supporting compliance efforts by managing incident reporting, regulatory fines, and documentation across jurisdictions. Ideal candidates have a Bachelor's degree...Flexible hours
- ...the general ledger Help ensure accurate and timely financial reporting across entities Assist in preparing documentation and responding... ...(e.g., NetSuite, Oracle, SAP, or similar) Familiarity with regulatory reporting concepts (e.g., FOCUS, net capital, reserve...Hourly payContract workLocal areaFlexible hoursShift work
$200k - $235k
...ensuring institutional-grade execution and regulatory compliance in everything we do. Join us and... ...About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting and compliance for the company's broker dealers...Full timeWork at officeWorldwide$143k - $180k
...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG US and Canada Broker Dealer... ...of Global Markets Division Americas. Reporting directly to the US and Canada broker... ...dealer practices are aligned with peers and regulatory expectations.* Analyze new business...Work at officeLocal areaRemote work$200k
...through our AAFA network. Our client is a broker dealer located in Northern New Jersey and they... ...is their headquarters and the role reports into the Controller. This is a top tier... ...and clearing broker Management of all regulatory reporting and financial statements for...$165.7k - $189.2k
...A financial institution is seeking a Broker Dealer Advisory Manager in New York. The role involves supporting compliance programs, managing conflicts of interest, and conducting office inspections. Strong analytical and communication skills are essential, along with a...Work at office$110k - $165k
...audit readiness. Responsibilities include preparing financial reports, journal entries, and account reconciliations. Ideal candidates... ...will have 3-7+ years of relevant experience, particularly in broker-dealer or financial services, and familiarity with SEC/FINRA reporting...Work at office$110k - $165k
...for a hands‑on Senior Accountant with broker‑dealer experience to own complex areas of the... ...compliance to ensure accurate financial reporting in a regulated environment. In This Role... ...multi‑entity environment Broker‑Dealer & Regulatory Accounting Support preparation of...Temporary workWork at officeWorldwideMonday to Friday- ...services company in New York is seeking a Senior Manager of Broker-Dealer Financial Operations and Controls. This pivotal role... ...strong expertise in broker-dealer operations, financial reporting, and regulatory compliance with at least 5 years of relevant experience....Work at office
- ...York, NY, to ensure adherence to FINRA and SEC regulations governing broker-dealer activities. The role involves designing and maintaining robust compliance programs, overseeing regulatory reporting, and managing Written Supervisory Procedures. The ideal candidate will...
$82k - $140k
...SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and... ...responsible for overseeing the management of the broker dealer's compliance risk. It is represented by... ...planning within the area of coverage. Reports to a senior member of Private Side...Work at officeLocal areaWork from home$72k - $87k
...registrations process, including individual and firm registrations and compliance reporting. The ideal candidate will hold an undergraduate degree and possess 1-3 years of relevant experience in broker-dealer compliance, demonstrating excellent communication skills and a...Work from home$140.41k - $172k
...About the Role The Broker‑Dealer Operations Manager will be a vital hands‑on leader, responsible... ...ensuring the reliability, accuracy and regulatory compliance of Gusto’s broker/dealer... ...transaction reconciliation and remediation, and reporting required for our broker‑dealer entity....Daily paidWork at officeLocal area2 days per week3 days per week- ...an accounting consultant with extensive broker dealer experience to help with an end-to-end... ...a hands-on, detail-oriented accounting specialist with deep broker-dealer knowledge who can... ...consultant will work across multiple reporting sources and accounting records to validate...
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