. Strong history and knowledge in technology with experience in Technology auditor. Preferably worked in the Broker-Dealer world... strategy and regulatory requirements. Risk Assessment and Monitoring: Lead regular risk assessments (RCSAs, EIS Assessments...
the financial and regulatory reporting processes for our corporate and financing entities. The successful candidate... writing, reviewing and maintaining relevant standard operating procedures Responsible for overseeing broker-dealer financial...
. Advise clients on regulatory matters and best practices in financial reporting. Supervise and mentor audit professionals... industry with private equity, hedge fund, and broker-dealer background. Strong knowledge of auditing standards, financial...
-Party Risk, Human Resources, Capital Markets, Nikko (broker dealer), and Corporate Services. In particular: Serving...) will work within the Legal Department, reporting to the Executive Director and Head of the Technology, Operations...
compliance with all FINRA rules and regulations, including timely and accurate reporting to regulatory authorities (e.g. monthly... or broker-dealer Strong knowledge of FINRA regulations. Series 27 licensed currently or will take exam upon joining...
and regulatory reporting. The ideal candidate will have knowledge of broker-dealer operations, financial rules and regulations... Knowledge of broker-dealer operations, financial instruments, and regulatory requirements. Excellent analytical skills...
accounting, and broker-dealer guidance/interpretation memos to internal and external auditors Keep abreast of regulatory... of downstream Regulatory Reporting feeds Manage the daily segregation of fully paid securities and weekly computation of the firm...
, including subsidiaries such as the broker dealer and derivative trading entities. The Liquidity Risk Independent Review... and/or the regulatory agencies. Primary Responsibilities: As a VP on the Liquidity Risk Independent Review team...
Markets (WHEM) including resiliency planning Support team on any other Ops requirements such as Broker Dealer and Cash... specific but benefit the global Central Bank Cash service. Achieves all regulatory change milestones and requirements. Build...