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Online Resumes with "15c3 3"
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
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
General - 16 Years of Experience - Near 10003
Professional Summary * Deep understanding and ability to implement reporting requirements such as Reg W, YY, and 15C3-3. * Managed and participated in the implementation of system and procedural changes to ensure compliance with new regulatory requirements at global financial institutions. * Possess the abilities to multi-task, work under pressure and be willing to work long hours as demanded by tight reporting deadlines. S...
Tags for this Online Resume: Compliance, Infrastructure, Integrate, Management, Financial, Account Management, Accounting, Architect, Automation, Back 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
