More jobs:
VP, Broker Dealer Regulatory Reporting
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-07-11
Listing for:
Taurus Search
Full Time
position Listed on 2026-07-11
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Global Markets client, is seeking a VP, Broker Dealer Regulatory Reporting to join their growing team. The VP, Broker Dealer Regulatory reporting will need to have a background in calculating the broker dealer regulatory reports. The firm has just went from a weekly 15c3-3 calc to daily and will need this person to be an SME on the 15c3-3 customer reserve formula.
The best candidate has:
- Minimum of 5 years experience in preparing the 15c3-3 customer reserve formula
- Ideally also has daily net capital (15c3-1) experience
- Familiarity with the reporting process from end to end
- Experience filing the FOCUS reports, Series 27 a plus
The company offers:
- lucrative base salary, bonus, and benefits
Position Requirements
5+ Years
work experience
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×