Accountant, Broker/Dealer for the Regulatory Group Jobs in Charlotte, NC | Glassdoor
  • All Jobs (4)

Accountant, Broker/Dealer for the Regulatory Group Jobs in Charlotte, NC

  • 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…
  • 3.6
    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…
  • EXI Careers, Inc – Charlotte, NC
    14 days ago 14d
    a detailed knowledge base in broker-dealer activities, operations, and monthly/annual regulatory reporting requirements including… oversight of or audit of broker-dealer financial statements Ability to compile and review broker-dealer financial statements including…
  • 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…
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