Assistant to Vice President

4 weeks ago

Hanover, United States TSR Consulting Services, Inc. Full time

AVP Broker Dealer Regulatory

6-8 months -Whippany NJ

Hybrid 2 days onsite

Pay $65-75 an hour

Job id 80210

Open to all Visas

Job description: AVP Broker Dealer Regulatory

About Financial Control The primary function of Financial Control is to ensure that B-delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches, meeting the statutory and regulatory requirements of the entity boards, regulators and external auditors About Financial Control – US Broker Dealer Regulatory Reporting US Broker Dealer Regulatory Reporting is part of the Financial Control function within the Americas Finance umbrella, supporting all businesses within BCI. The team is responsible for ensuring the US Broker Dealer entity satisfy the various financial responsibility rules set out by SEC/FINRA/CFTC/CME, e.g. customer protection, capital requirements and regulatory filings. In addition, this team is also responsible for interpreting certain broker dealer rules and regulations and providing guidance and advice to businesses on transactions/product developments which may have customer protection, net capital and regulatory filing implication. Overall purpose of role The primary purpose of this position is to contribute to the critical function of computing Net Capital in accordance with SEC Rule 15c3-1 and preparing various regulatory filings. This process is required by the Securities and Exchange Commission along with the designated examining authority, FINRA. This role will serve as the first line of defence in a controlling capacity for requisite information required by regulators for the net capital requirement as well as delivering to key stakeholder and addressing examination requests. This position has extensive coverage of the US Broker-Dealer financial reporting information and will have exposure to a broad range of the entity’s products and business activities. It will have key interfaces with various audiences amongst infrastructure areas such as Operations, Finance, Risk, Treasury, Compliance and Legal. Key Accountabilities

Contribute to the preparation and oversee aspects of various regulatory reporting requirements for the broker-dealer including SEC Rule 15c3-1, 15c3-3, and the required filing submissions.

Execute various controls and procedures to ensure accuracy, completeness, and compliance with regulatory standards, while continuously monitoring and refining processes to mitigate risks and improve efficiency within the regulatory reporting framework.

Support regulatory examinations and external audits, deliver ad hoc stakeholder requests, and assist with audit due diligence sessions. Implementing process improvements to enhance the efficiency and accuracy of regulatory reporting Stakeholder Management and Leadership Given the scope of coverage for this role, the candidate is expected to demonstrate an ability to lead and inspire individuals, possess strong interpersonal skills with the ability to maintain relationships at all levels. The candidate will also have interactions with senior management across the functional areas in B- as well as external stakeholders (i.e. regulators and auditors). The position will have an opportunity to deliver key management information metrics and be able to articulate content and issues within which may require management attention. Decision-making and Problem Solving The position has the potential to be involve in a wide array of issues pertaining to the broker dealer entity and will be viewed as a subject matter expert encompassing a wide array of skills which includes regulatory, accounting, operational and risk management. Risk and Control Objective Take ownership for managing risk and strengthening controls in relation to the work you do. Person Specification Personal attributes essential to performing role including competencies, expertise, knowledge, and experience.

Essential Skills/Basic Qualifications: Experience and expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing the 15c3-1 Net Capital and FOCUS reporting process

Understanding of the Operational records and settlement mechanics of a broker dealer Ability to independently execute tasks, challenge, and escalate issues where needed

Strong attention to detail and ability to present to key stakeholders including senior management and regulators Desirable skills/Preferred Qualifications: Experience in other areas of regulatory reporting including 15c3-3 Customer Reserve, CFTC segregation requirements, and the Possession or Control Requirements of SEC Rule 15c3-3 Detail oriented and strong analytical aptitude - ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance.

Ability to build relationships across teams – Operations, Product Control, Regulatory Reporting, Compliance, etc

  • Vice President of Strategic Partnerships

    1 week ago

    East Hanover, New Jersey, United States Synerfac Full time

    Position Overview:Our client is seeking a seasoned professional to take on the role of Vice President of Strategic Partnerships. This individual will spearhead the business development team, focusing on growth and market expansion.Key Responsibilities:Drive the expansion and diversification of the customer portfolio within the Surgical Business Unit.Foster...

  • Vice President of Insights Strategy

    2 weeks ago

    Hanover, New Jersey, United States NielsenIQ Full time

    Position OverviewAs the Vice President of Insights Strategy, your responsibilities will include:Team Leadership:Oversee a group of analytics and insights professionals, effectively mentoring, guiding, and nurturing their development. Provide constructive feedback and recognition to ensure the team maintains exceptional performance and professional...

  • Vice President of Finance

    2 weeks ago

    Hanover Twp, United States Weiss-Aug Group Full time

    Position Title: Vice President of Finance at Weiss-Aug GroupWeiss-Aug Group stands as a prominent entity in the realm of precision metal stamping, injection molding, and integrated assembly solutions. With a rich history spanning over fifty years, we cater to the medical device, automotive, and industrial sectors, emphasizing a collaborative work atmosphere...

  • Senior Vice President, Integrated Insights Strategy

    2 weeks ago

    East Hanover, New Jersey, United States Novartis Farmacéutica Full time

    Position Overview:The Senior Vice President, Integrated Insights Strategy is a pivotal leadership position within Novartis Farmacéutica, responsible for steering the Integrated Insights team across the US Therapeutic Area (TA). This role emphasizes the importance of harnessing impactful insights and analytics to drive strategic decisions and enhance...

  • Associate Vice President for Inclusion and Strategic Engagement

    2 weeks ago

    Hanover, NH, United States Dartmouth College Full time

    Posting date: 06/11/2024Open Until Filled: YesPosition Number: Position Title: Associate Vice President for Inclusion and Strategic EngagementDepartment this Position Reports to: Office of Institutional Diversity and EquityHiring Range Minimum: Please Inquire.Hiring Range Maximum: Please Inquire.Union Type: Not a Union PositionSEIU Level: Not an SEIU...

  • Vice President of Finance

    2 weeks ago

    East Hanover, New Jersey, United States Weiss-Aug Group - East Hanover, NJ Full time

    Job OverviewWeiss-Aug Group is a globally recognized leader in precision metal stamping, injection molding, and value-added assembly solutions. With over 50 years of experience serving various industries, including medical devices and automotive, we strive to foster an innovative environment that attracts and retains top talent committed to excellence in...

  • Vice President of Finance

    2 weeks ago

    East Hanover, New Jersey, United States Weiss-Aug Group - East Hanover, NJ Full time

    Job OverviewWeiss-Aug Group is a globally acknowledged authority in precision metal stamping, injection molding, and comprehensive assembly solutions.With over five decades of experience, we have catered to the medical device sector, automotive industry, and various industrial applications. Our mission is to foster an engaging atmosphere that attracts and...

  • Vice President, Engagement

    3 months ago

    Hanover, United States Unisys Full time

    What success looks like in this role: -Serves as the global Engagement Executive leader. -Delivers high-level business development support and advice on opportunities across a highly complex and matrixed environment. -Performs sales impact, financial analysis, long-range forecasting and effectiveness studies associated with potential client and...

  • VP of Environmental Health

    3 weeks ago

    Hanover, United States Ox Paper Tube Core Full time $160,000 - $185,000

    Job DescriptionJob DescriptionJob Title: Vice President, Environmental Health & SafetyReports To: Mark Wallace, Sr. VP OperationsGENERAL PURPOSE OF JOB:The Vice President of Environmental Health and Safety (EHS) will collaborate with executive leaders, plant managers, and Ox Safety & EHS team members as well as employees across a variety of workplaces such...

  • VP of Environmental Health

    2 weeks ago

    Hanover, United States The Ladders Full time

    Job Title: Vice President, Environmental Health & Safety Reports To: Mark Wallace, Sr. VP Operations GENERAL PURPOSE OF JOB: The Vice President of Environmental Health and Safety (EHS) will collaborate with executive leaders, plant managers, and Ox Safety & EHS team members as well as employees across a variety of workplaces such as: offices, converting...

  • Client Relations Specialist

    1 week ago

    Hanover, Pennsylvania, United States L2 Brands Full time

    Job OverviewThe Customer Service Coordinator plays a vital role in maintaining the relationship between clients and the sales team at L2 Brands. Reporting directly to the Vice President of Customer Service, this position serves as the main contact for both customers and sales executives, ensuring a seamless communication flow and fostering long-term...

  • Receptionist

    3 months ago

    Hanover, United States L2 Brands Full time

    Job DescriptionJob DescriptionFor over 30 years, L2 Brands, through its League, Legacy, Ouray and Locale lifestyle brands, has created premium customized products that connect consumers with the schools, traditions, destinations and workplaces they identify with and love.Summary: The Receptionist is responsible for greeting customers and visitors to L2...

  • Operations Manager Trainee

    1 month ago

    Hanover, United States Avis Budget Group Full time

    Here at Avis Budget Group we're more than just rentals-although over 70 years of experience and 11,000 locations in 180 countries has taught us a thing or two about that. We're shaping the future of the mobility industry with our innovative, customer-focused solutions. Our globally recognized brands - Avis, Budget, Budget Truck and Zipcar - connect people to...

  • Client Relations Specialist

    2 weeks ago

    Hanover, Pennsylvania, United States L2 Brands Full time

    Job OverviewThe Customer Service Coordinator plays a vital role in the Customer Service department, reporting directly to the Vice President of Customer Service. This position serves as the main liaison for clients and sales teams, fostering long-lasting relationships through outstanding support and satisfaction.Key Responsibilities:Client Assistance:Possess...

  • Client Relations Specialist

    1 week ago

    Hanover, Pennsylvania, United States L2 Brands Full time

    Job OverviewThe Customer Service Coordinator plays a pivotal role within L2 Brands, operating under the guidance of the Vice President of Customer Service. This position serves as the main liaison for clients and sales personnel, fostering enduring partnerships through outstanding support and satisfaction.Key Responsibilities:Client Assistance:Possess...

  • Operations Manager

    3 months ago

    Hanover, United States Avis Budget Group Full time $52,000

    Operations Manager- Entry LevelSalary: $52,000/yr + Company Vehicle (Gas, Insurance, Maintenance Included)Are you driven by a passion for customer satisfaction? Do you thrive in a fast-paced, high-pressure environment? Join us as an Operations Manager Trainee and embark on a dynamic learning journey. Through our structured, hands-on program, you’ll immerse...

  • Operations Manager Trainee

    2 months ago

    Hanover, United States Avis Budget Group Full time

    Here at Avis Budget Group we're more than just rentals-although over 70 years of experience and 11,000 locations in 180 countries has taught us a thing or two about that. We're shaping the future of the mobility industry with our innovative, customer-focused solutions. Our globally recognized brands - Avis, Budget, Budget Truck and Zipcar - connect people to...

  • Operations Manager Trainee

    2 months ago

    Hanover, United States Avis Budget Group Full time

    Here at Avis Budget Group we're more than just rentals-although over 70 years of experience and 11,000 locations in 180 countries has taught us a thing or two about that. We're shaping the future of the mobility industry with our innovative, customer-focused solutions. Our globally recognized brands - Avis, Budget, Budget Truck and Zipcar - connect people to...

  • Associate Director

    2 weeks ago

    Hanover, NH, United States Dartmouth College Full time

    Posting date: 07/16/2024Open Until Filled: YesPosition Number: Position Title: Associate DirectorDepartment this Position Reports to: University AdvancementHiring Range Minimum: $76,300Hiring Range Maximum: $91,000Union Type: Not a Union PositionSEIU Level: Not an SEIU PositionFLSA Status: ExemptEmployment Category: Regular Full TimeScheduled Months per...

  • Event Coordinator

    2 weeks ago

    East Hanover, United States Pillar Care Continuum Full time $55,000 - $65,000

    Job DescriptionJob DescriptionPillar Care Continuum is hiring an Event Coordinator! Are you looking for a fulfilling job that highlights your organizational and multitasking skills, creativity, and passion for supporting people with disabilities? This exciting position is a driving force behind the services of over 1,700 NJ residents with developmental...