Accountant, Broker/Dealer for the Regulatory Group Jobs | Glassdoor
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Accountant, Broker/Dealer for the Regulatory Group Jobs

  • 2.8
    Mitchell & Titus – Chicago, IL
    EASY APPLY
    5 days ago 5d
    higher in accounting CPA - Certified Public Accountant Expertise in BrokerDealer DESIRED QUALIFICATIONS: Public accounting… requires a detailed knowledge of broker-dealer activities, operations, and monthly/annual regulatory reporting requirements including…
  • 3.0
    Cetera Financial Group – El Segundo, CA
    NEW
    individual brokerdealer accounting manager, VP Shared Services, VP Technical Accounting and Reporting, Regulatory and Reporting… financial and regulatory reporting for the Company, provides leadership and coordination of company’s brokerdealer networks. Partners…
  • 4.4
    Canon Recruiting Group LLC – New York, NY
    20 days ago 20d
    banking. Knowledge of applicable laws and regulatory requirements banking and broker/dealer regulations Strong project/task management… for a New York based Internal Auditor for Market Risk & BrokerDealer. We require relevant work experience in Internal Audit…
  • 4.4
    Linium Recruiting – New York, NY
    NEW
    client, a major International Investment Bank/BrokerDealer, is seeking a Regulatory Policy Specialist Missions The scope… or Graduate degree in Accounting or Finance. Chartered Accountant, CFA or CPA designation(s) are pluses. Technical Skills…
  • 3.6
    Morningstar – Chicago, IL
    9 days ago 9d
    for Morningstar Investment Services, LLC (MIS) which is a brokerdealer and a regulated entity with the SEC and FINRA. Additionally… Preparation of monthly financial statements for the stand-alone BrokerDealer registered entity with the FINRA. Identify, analyze and…
  • 3.3
    Vanguard – Malvern, PA
    28 days ago 28d
    written communication skills. Strong analytical skills. Broker-Dealer experience is a plus. Accounting software and spreadsheet… financial information used for internal and external financial, regulatory and tax reporting for U.S entities. To understand and effectively…
  • 3.0
    MUFG – New York, NY
    Est. Salary $100k-$163k
    NEW
    should include: SEC, Financial Reporting, Regulatory Reporting, Basel and/or Broker/Dealer is critical. Proficient in the use of… . degree in Accounting or Finance. CPA and/or a Chartered Accountant is strongly preferred Previous public accounting experience…
  • 3.6
    PCAOB – Washington, DC
    Est. Salary $103k-$164k
    23 days ago 23d
    independent audit reports. The PCAOB also oversees the audits of broker-dealers, including compliance reports filed pursuant to federal… responsible experience auditing publicly traded companies or brokers and dealers with a minimum of one year at the Senior Manager/Manager…
  • 3.3
    Eze Software – Boston, MA
    Est. Salary $88k-$126k
    7 days ago 7d
    funds, endowments, family offices, wealth managers, and broker-dealers across a range of strategies, investment products, and asset… opportunity for an experienced product manager or experienced fund accountant to help shape the product roadmap of Portfolio Accounting…
  • 3.7
    Crédit Agricole – America, OK
    Est. Salary $46k-$68k
    27 days ago 27d
    nonbank Subsidiaries, as well as, assist the Controller of the Broker/Dealer as needed. This incorporates preparation of journal entries… summary Summary Department: Financial Accounting & Regulatory Reporting Position Reports To: Financial Accounting & Reporting…
  • 3.0
    Union Bank N.A. – New York, NY
    Est. Salary $113k-$183k
    6 days ago 6d
    should include: SEC, Financial Reporting, Regulatory Reporting, Basel and/or Broker/Dealer is critical. • Proficient in the use of… . degree in Accounting or Finance. CPA and/or a Chartered Accountant is strongly preferred • Previous public accounting experience…
  • 3.5
    Wells Fargo – San Francisco, CA
    Est. Salary $86k-$129k
    6 days ago 6d
    Partnering with Regulatory & Basel Reporting, Insurance, Regulatory Reporting Interpretation and Broker-Dealer reporting teams… BS/BA degree or higher in accounting CPA-Certified Public Accountant designation Knowledge and understanding of US GAAP financial…
  • 3.6
    Ameriprise Financial – Minneapolis, MN
    9 days ago 9d
    Regulatory reporting for our clearing broker-dealer, American Enterprise Investment Services, Inc. (AEIS), which includes performing… compiling legal entity financial statements for clearing brokerdealer (primarily monthly FOCUS reports and related supplements…
  • 3.0
    Absolute Opportunities – Charlotte, NC
    Est. Salary $48k-$94k
    13 days ago 13d
    base in broker-dealer activities, operations, and monthly/annual regulatory reporting requirements including regulatory reporting… understanding of broker-dealer/investment banking activities and products Strong technical accounting experience SEC & Regulatory Reporting…
  • 3.1
    BNY Mellon – Jersey City, NJ
    12 days ago 12d
    behind the scenes to power transformational change for broker-dealers, registered investment advisors, independent financial advisers… The Accountant III - Finance (AIIIF) role is accountable to deliver through effective, efficient Sarbanes-Oxley, regulatory compliant…
  • 3.5
    Bank of America – New York, NY
    Est. Salary $58k-$89k
    8 days ago 8d
    Responsibilities include: Assist the team in preparing brokerdealer semi-annual and year-end financial statements and related… SEC reporting team 10Q and 10K disclosures relating to the brokerdealer. Prepare inter-company reconciliations on a monthly basis…
  • 3.6
    TIAA – Charlotte, NC
    15 days ago 15d
    Reporting, Corporate Treasury, Accounting Policy, Advisor and BrokerDealer Accounting, and Metrics and Controls sub-groups. The… investment security types. The group is seeking an Investment Accountant I with the ability to contribute to and grow with the team…
  • 3.4
    BNP Paribas – Omaha, NE
    Est. Salary $65k-$94k
    NEW
    Ideal candidates will have experience in accounting for broker/dealers. Position Summary Responsible for applying accounting… States-California-San Ramon Standard / Permanent Analyst - Finance Accountant - HR Finance Department CA-QC-Montréal…
  • 3.1
    Sumitomo Mitsui Banking Corporation – Jersey City, NJ
    21 days ago 21d
    Required education/experience: 3-5 years experience in broker/dealer accounting with emphasis on fixed income products Undergraduate… , communication, and interpersonal skills Knowledge of broker-dealer accounting Proficiency desired in Oracle GL, Impact system…
  • 3.5
    Seven Seven Softwares – Minneapolis, MN
    6 days ago 6d
    asset transfers (including securitizations), fair value, broker/dealer accounting, and consolidation assessments Applicant meets… , or a combination of both An active Certified Public Accountant (CPA) designation (RQO0003770) DESIRED QUALIFICATIONS…
  • 3.6
    TIAA – Charlotte, NC
    Est. Salary $71k-$95k
    NEW
    licenses may be carried by the broker-dealer if the auditor is involved in auditing brokerdealer activities. NOTE: The incumbent… field. A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is strongly preferred…
  • 3.1
    BNY Mellon – New York, NY
    Est. Salary $42k-$64k
    6 days ago 6d
    with capital markets, global markets and derivatives and brokerdealers, from a global and local perspective, required to transform… Education: Varies by region: In US - MBA, CPA CA (Chartered Accountant), C.A/ AICWA (AICWA is Associate Institute of Cost and Works…
  • 3.0
    SMBC Group – Jersey City, NJ
    21 days ago 21d
    Required education/experience: 3-5 years experience in broker/dealer accounting with emphasis on fixed income products Undergraduate… , communication, and interpersonal skills Knowledge of broker-dealer accounting Proficiency desired in Oracle GL, Impact system…
  • 3.8
    Capital One – Richmond, VA
    7 days ago 7d
    asset management products and brokerdealer 5+ years of experience with financial service regulatory matters (OCC, Fed, FINRA, CFPB… Administration Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Fiduciary and Investment Risk Specialist…
  • 3.3
    FINRA – Rockville, MD
    9 days ago 9d
    Financial Industry Regulatory Authority, Inc. Associated topics: account, accountant, accountant i, accountant iii, budget, financial… child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those…
  • Gennex resourcing – Princeton, NJ
    EASY APPLY
    28 days ago 28d
    for BrokerDealer · Direct interface with external auditor related to the annual FINRArequiredaudit of the BrokerDealer… corporate entities including registered investment advisor and BrokerDealer registered with FINRA · Corporate cash management, including…
  • Touchstone Investments – Cincinnati, OH
    NEW
    product initiatives. Assists with regulatory oversight of Touchstone’s third party Broker/Dealer omnibus relationships to ensure… Liquidity Vendor, 22c2 Vendor, Fund Accountant, Transfer Agent, Sub-Advisors, Prime Broker, Commission Recapture vendors and Sub-Administrator…
  • 4.2
    Eclaro International – United States
    24 days ago 24d
    Knowledge of applicable laws and regulatory requirements governing a registered broker/dealer (Client, SEC) and the Employee Retirement… Retirement Services Professional (CRSP), Certified Professional Accountant (CPA); or other investment/retirement-related professional…
  • EXI, inc – Minneapolis, MN
    20 days ago 20d
    asset transfers (Including securitizations), fair value, broker/dealer accounting, and consolidation assessments Company Description… degree or higher in accounting An active Certified Public Accountant (CPA) designation Intermediate Microsoft Office skills…
  • 3.8
    Capital One – Wilmington, DE
    18 days ago 18d
    experience At least 4 years of experience auditing: Broker-Dealer (advisory services, 401K services, annuities, and insurance… Internal Auditor (CIA) or Certified Public Accountant (CPA) or Certified Regulatory Compliance Manager (CRCM) or Certified Information…
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