Overview: We are looking for an experienced broker dealer regulatory reporting consultant for a large international... preferred 5-10 years of Regulatory Reporting expertise preferred Qualified applicants must reside in the continental...
and divisional partners across Citi. Key Responsibilities: Contributes to analytics and reporting of Broker-Dealer funding...Position Overview: Citi’s Global Broker-Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate...
Broker-Dealer regulatory requirements and supporting members as part of the Nasdaq Regulatory Reporting FinTech team...Nasdaq Technology is looking for a Business Analyst Specialist to join our Broker Dealer team in New York...
of regulatory and/or advisory compliance experience at a broker dealer. A solid foundation in US securities laws and regulations... advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk...
. Maintains subject matter expertise and ensures compliance with state/local regulatory requirements by following company.... Reporting Relationship Typically Director or above Skills, Knowledge & Abilities Thorough knowledge of the commercial...
U.S Understanding of the global regulatory environment Experience working at a U.S. registered broker-dealer, swap dealer, futures... coverage of Operations functions with an emphasis on non-financial regulatory reporting requirements in the Americas region...
of appropriate audit plans/activities for assigned areas (e.g., banking & broker-dealer regulatory reporting, financial reporting... plus Big 4 experience plus Banking/broker-dealer regulatory reporting plus Interested? If your experience is closely...
. What You'll Bring 3+ years of banking/broker-dealer experience in audit and/or financial and regulatory reporting 7+ years..., and assist in successfully executing banking and broker-dealer-related audits, regulatory matters, and strategic initiatives...
of appropriate audit plans/activities for assigned areas (e.g., banking & broker-dealer regulatory reporting, financial reporting... plus Big 4 experience plus Banking/broker-dealer regulatory reporting plus Interested? If your experience is closely...
. What You’ll Bring 3+ years of banking/broker-dealer experience in audit and/or financial and regulatory reporting 7+ years..., and assist in successfully executing banking and broker-dealer-related audits, regulatory matters, and strategic initiatives...
broker-dealer’s onboarding process Assist with system configuration, setup, and testing Collaborate with relevant... regulatory bodies to understand the application process, reporting requirements, and ongoing obligations for market participants...
will provide more details. Job Summary: The Regulatory Reporting Analyst reports to the Regulatory Reporting Manager..., and generally accepted accounting principles. This position supports multiple cross-functional regulatory reporting efforts...
The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital... FOCUS reports for each and ensuring that the primary broker dealer, Citigroup Global Markets Inc. is compliant with the...
metrics of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting Manage the... and effectiveness of the regulatory reporting regime. How You’ll Succeed The team’s primary mandate is to create and maintain...
and/or broker dealer regulatory compliance or a graduate degree and approximately 4 years of consulting work experience A degree in... Capital Markets, investment banking, and broker dealer product and service knowledge (e.g., equity and debt securities...
or understanding of broker/dealer tax obligations Knowledge of tax documentation and 1099/1042s reporting... and Backup withholding Prior Tax Operations related work experience or understanding of broker/dealer tax obligations Knowledge...
annual benefit plan financial statements and footnotes. Assist the regulatory reporting team with broker-dealer reporting... This is an opportunity to join MarketAxess financial reporting team as a Financial Reporting Associate. The role will be a vital part of the...
and broker dealer policies and procedures. Other duties as assigned. Minimum Knowledge & Experience: High School diploma... with the review of administrative procedures to ensure consistency. Complies with all division policies and regulatory...
activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting... process. Provide Compliance Advisory services for US Marex Solutions Regulatory Reporting process. Ensuring compliance...
activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting... process. Provide Compliance Advisory services for US Marex Solutions Regulatory Reporting process. Ensuring compliance...