Elephant X Dot Com Work Values

Daily Duties at Elephant X Dot Com:

Summary: Contribution of expertise toward optimizing financial operations by proficiently supervising accounting, settlement activity, and trading. Additionally, provided detailed P&L and sales activity reports instrumental to supporting senior and executive staff in defining and executing targeted business strategies and effective action plans. Managed monthly regulatory inquiries from FINRA /SEC to prepare responses regarding the firm’s operations. Implemented regulatory reporting for two broker-dealers which included preparation of Net Capital15c3-1, and monthly and quarterly FOCUS reporting. Significantly improved efficiencies in accounting and operations due to cross training of staff.

What they like about Elephant X Dot Com:

The social vibrance of a hiring firm is very important to you. Your ability to make and maintain friendships there is a critical part of your decision. You would likely be dissatisfied with a workplace that is quiet, cold, or otherwise not particularly social. When you investigate a new hiring company, ask recruiters, managers, and potential co-workers about the social life and opportunities there. This is especially important when you are relocating; moving dramatically alters your social sphere both inside and outside the workplace.

Tags

written supervisory procedures, compliance officer, trade surveillance, self starter, leadership role, broker dealer, project management, consulting, branch audits, FINRA/SEC Examinations, WEB CRD Registrations, FORM BD, drafting of internal controls, Testing of Internal Controls, Compliance Leadership, management of regulatory inquiries and examinations, creation of management reports to monitor compliance, compliance training programs

Skills

Sales Support, MS Office : Word, Excel, PowerPoint, Manage FINRA and SEC regulatory requests regarding specific firm’s trading activities by providing written communications to resolve inquiries in a timely manner. , Demonstrate dynamic leadership qualities and strong communication skills in successfully steering compliance agenda and financial meetings utilized in delivering comprehensive strategies., Developed training materials that were utilized for regulatory mandated meeting thus reducing the firm’s need to contract with vendors for outsourced solutions.

These are some of the questions we asked our climbers about their experiences with Elephant X Dot Com: