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16 accountant broker dealer for the regulatory group jobs

Accountant-Regulatory Reporting

MetLife 100+ Reviews Charlotte, NC

The Broker-Dealer Controller Group has primary responsibility for compliance with the Financial Responsibility Rules of the Security & Exchange… Beyond.com

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Sr Corporate Accountant

OppenheimerFunds 100+ Reviews Denver, CO

May Include: Responsible for accounting for registered broker/dealer legal entity Responsible for reviewing and approving third party payments… Ivy Exec

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Accounting Manager - Securities America

Sumitomo Mitsui Financial Group 16 Reviews Jersey City, NJ

The person in this position will be responsible for the accounting matters and system projects of a US broker-dealer, which include: P&L… Ivy Exec

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CCO for Investment Advisor

The Compliance Search Group New York, NY

THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal… TheLadders.com

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Senior - Investment Management Tax - Regulated Investment Companies (RIC Tax)

Deloitte 100+ Reviews Boston, MA

We are currently looking for Tax Seniors for our Investment Management Tax practice. Tax Seniors have in-depth, first-hand industry knowledge. They… Ivy Exec

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Sr. SEC Regulatory Reporting

UBS Financial Services Nashville, TN

The Regulatory Reporting Group (Finance) is responsible for analysis and control of the firms regulatory capital as well as adherence to various… Beyond.com

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Senior Financial Accountant (Controller / Finance Team) - Finance and Investment Industry Opportunity

Financial Services Institution 1 Review New York, NY

Main areas of Responsibility will include: Financial/Business Management Production of relevant financial/management accounting reporting… VelvetJobs.com

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Manager Corporate Accounting – easy apply

tekopinc Denver, CO

May Include: • Responsible for accounting for registered broker/dealer legal entity • Responsible for reviewing and approving third party… tekopinc

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Supervision Specialist

Cetera Financial Group 24 Reviews Schaumburg, IL

•Trade review and new account approval. •Responsible for the enforcement of policies/procedures as listed in procedure… Cetera Financial Group

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Director of Regulatory Accounting

The Compliance Search Group Kansas City, MO

are, but not limited to: • Have experience with regulatory accounting for either a jointly registered broker-dealer/futures commission merchant… TheLadders.com

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Financial Reporting and Accounting Policy Director

DTCC 100+ Reviews Jersey City, NJ

The Finance Director, Finance Reporting and Accounting is primarily responsible for the global direction and co… Ivy Exec

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Manager Corporate Accounting

OppenheimerFunds 100+ Reviews Denver, CO

May Include: • Responsible for accounting for registered broker/dealer legal entity • Responsible for reviewing and approving third party… Ivy Exec

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US Regulatory /reporting BA / PM – easy apply

Grafpart corp New York, NY

IHC/CCAR Reg Reporting, Axiom and US FED Reg Reporting. A development background is highly… Grafpart corp

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FINANCE DIRECTOR, Financial Reporting and Accounting Policy

DTCC 100+ Reviews Jersey City, NJ

With over 40 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From operating… DTCC

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Junior Compliance Analyst

Interactive Brokers 56 Reviews Chicago, IL

• Prepare Surveillance Report review and memorialization • Regulatory Filings • Assist with Anti Money Laundering Program • Conduct Fraud… Interactive Brokers

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