Broker Dealer Reporting Control Specialist

Job DescriptionJob DescriptionBroker Dealer Reporting Control Specialist Missions• Perform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc....

Rate: $60/hourPerform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc. Propose improvements to the operational and financial control framework...

6-month contract opportunity at a foreign investment bank at their Jersey City office location. Hybrid 3/2 work schedule.Responsibilities:Perform all aspects of regulatory reporting level 2 control reviews: (identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13,...

6-month contract opportunity at a foreign investment bank at their Jersey City office location. Hybrid 3/2 work schedule.Responsibilities:Perform all aspects of regulatory reporting level 2 control reviews: (identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13,...

Responsibilities: Oversee the accounting operations of our subsidiaries, including control systems, transaction-processing operations, policies, and procedures. Ensure accurate and timely monthly, quarterly, and year-end close processes of the broker dealer entity and associated subsidiary entities (acquired as part of a recent acquisition). Prepare and...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

**Job Summary** - Prepare and file various Broker-Dealer Regulatory Reports and assist with projects and process improvement initiatives for RBC Capital Markets, LLC. - Ensure compliance with SEC, FINRA, CFTC, etc., Regulatory Reporting Requirements. **What will you do?** - Assist in all aspects of preparing the FOCUS and Supplemental Reports, i.e., SSOI,...

Title: Head of Swap Dealer Regulatory ReportingOffice Status: Hybrid 2x a week in Jersey CitySalary: $250,000 Base + BonusWe’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory...

Title: Head of Swap Dealer Regulatory ReportingOffice Status: Hybrid 2x a week in Jersey CitySalary: $250,000 Base + BonusWe’re representing a multi-billion-dollar tech-driven investment firm. Launched in 2018 and now publicly traded (their stock price is up over 40% over the past year – over $5b AUM) they specialize in trading and strategic advisory...

**JOB DESCRIPTION** Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company,...

**Job Summary** **What is the opportunity?** **What will you do?** - Manage and over see CP Team functions and activities, assign and prioritize work. Define strategic vison. Provide leadership and coaching as a means of developing staff members both technically and professionally. Complete and finalize performance appraisals of direct reports. - Perform...

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group,...

Join SMBC Group - a Global Financial Powerhouse SMBC Group, with a rich 400-year history and headquartered in Tokyo, is a leading global financial group. With over 80,000 employees across nearly 40 countries, SMBC Group offers a wide range of financial services, from banking to leasing, securities, credit cards, and consumer finance. As part of Sumitomo...

We are looking for **Vice President - Compliance Independent Testing Examiner Volcker & Swap Dealer** **Level of experience** **Location** **Business Overview:** Demonstrate the firms commitment to compliance by maintaining a compliance testing review program that evaluates the firms compliance with applicable laws and regulations and discloses violations...

We are looking for **Vice President - Compliance Independent Testing Examiner Volcker & Swap Dealer** **Level of experience** **Location** **Business Overview:** Demonstrate the firms commitment to compliance by maintaining a compliance testing review program that evaluates the firms compliance with applicable laws and regulations and discloses violations...

The Broker Services Specialist’s responsibilities include but are not limited to entering, maintaining, and updating broker information in GAIT, assisting brokers with carrier appointments, and establishing carrier relationships. Under general supervision, the Broker Services Specialist is responsible for assisting in identifying, screening, educating and...

Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and...

**Broker Sales Manager** Kansas City / Sales / Full Time Were looking for a **Broker Sales Manager** in the **Kansas/Missouri** market. This position has the primary responsibility for the development, growth and management of Gravies Health Insurance solutions through Broker Dealers, Brokerage General Agents (BGA), and strategic partners. Youll report to...

**Broker Sales Manager** Kansas City / Sales / Full Time Were looking for a **Broker Sales Manager** in the **Kansas/Missouri** market. This position has the primary responsibility for the development, growth and management of Gravies Health Insurance solutions through Broker Dealers, Brokerage General Agents (BGA), and strategic partners. Youll report to...