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Online Resumes with "15c3 1"
The "Champion" of recruiters
I am looking for something stable yet challenging. I would prefer to stay in financial services as a corporate recruiter or recruit for an profession across many industries
Tags for this Online Resume: compliance, recruiter, series 7, series 24, accounting, broker/dealer, investment advisor, insurance, 15c3-3, 15c3-1, series 27
Controller/Asst. Controller/Acctg. Manager-Supervisor - 15+ years experience
Experience new challenges, develop and enhance existing expertise, while training/developing others grow and succeed together with the Company's growth and success.
Tags for this Online Resume: SEC/FINRA Rules compliance, FINRA 15c3-1 & 15c3-s FOCUS Reports, Multi-Entity ME/YE Financial Reports/Cash Management, Benefits/Payroll Administration and Staff Development, Proficient with Microsoft Word/Excel, QuickBooks, ACCPAC, Sun System and Champion Acctg. Softwares
VP Regulatory Reporting (broker-dealer)
Financial professional with experience in researching and interpreting SEC rule 15c3-1 and 15c3-3.
Tags for this Online Resume: Focus reporting, Repo charges, Broker dealer operations, regulatory Analyst, Rule 15c3-1, Rule 15c3-3
Accountant
Tags for this Online Resume: brokerage, 15c3-1, finance, accounting
Project Manager/ Senior Business Analyst
Project Manager/ Senior Business Analyst position in Financial Services Industry with focus on risk management and/or regulatory capital calculation.
Tags for this Online Resume: Project planning, management, administration and financials, financial markets and products knowledge, regulation expertise in the area of Capital Adequacy/ Haircuts, SEC 15c3-1, Basel Accords, market risk, credit risk, broker profitability and compensation, market, reference and cross-reference data, software acquisition, contract negotiation, data modeling, business requirements documentation, business process re-engineering , test and QA planning and execution, strong communication, presentation, problem solving and analytical skills, interviewing, new employee development, outsourcing management, formal SDLC, PMI standards, MS Project, PowerPoint, MS Office
Financial Examiner - 25 Years of Experience - Near 11375
SUMMARY OF QUALIFICATIONS * Strong knowledge and broad understanding of the Securities Industry and considerable expertise with US GAAP and International Accounting Standard (IAS). Considerable experience with corporate, broker-dealer and commodities accounting * Broad grasp and strategic understanding of Financial and Regulatory Reporting with emphasis on all SEC and FINRA requirements including the 15c3-1 Net Capital, 15c...
Tags for this Online Resume: Accounting, Fixed Income, Management, Asset Management, Equities, Financial, Financial Statements, Policies and Procedures, Acquisitions, Assessments
