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Operations Regulatory Reporting – Assistant Vice President
International Market Recruiters
New York, NY, United States
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OPERATIONS REGULATORY REPORTING – ASSISTANT VICE PRESIDENT - $95,000 - $115,000 Base + Bonus! Leading Investment Firm is hiring an AVP to join their New York City Operations Risk & Regulatory Control group to ensure full compliance with regulatory requirements. You will be responsible for comprehensive review of filings; interact with key stakeholders to complete regulatory reports, monitor and validate processes; completion of FINRA reporting: Short Interest, Portfolio Margin, Customer Margin Balances, certain changes 15c3-1 and 15c3-3; suspense and fails reporting and possession or control; identify potential process improvements and assist with new regulatory projects. To be considered you must be highly analytical with a Bachelor’s Degree & 6+ years ‘experience that includes Regulatory/Compliance; reporting under FINRA, NASD, NYSE and SEC Rules and Regulations; investment banking experience with in-depth knowledge of Equity, Debt and Derivatives. If you thrive in a fast-paced deadline driven environment, can successfully manage multiple projects this is your opportunity for career advancement and financial reward. Interested? FOR ALL FINANCIAL SERVICES JOB POSTS VISIT www.goimr.com