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Online Resumes with "Rule 15c3 3"
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
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
