Investment Funds – Regulatory Associate - New York

We are seeking a Regulatory Reporting Associate to join our Finance & Accounting team in New York. This role focuses on broker-dealer regulatory reporting. · Prepare and review weekly and monthly customer and PAB reserve formula computations. · Calculate net capital calculations ...

Job summary · We are working with a well-known international Investment Bank looking to expand its Regulatory Operations team. · ResponsibilitiesMonitor and manage live reporting queues across FINRA reporting facilities. · Perform exception management, research, escalation, and c ...

++The Regulatory Reporting Associate will support regulatory reporting requirements within the financial services industry. · + · +Prepare and review regulatory reports to ensure compliance with financial regulations. · Collaborate with internal teams to gather and analyze financ ...

The Regulatory Reporting Associate will support regulatory reporting requirements within the financial services industry. · This opportunity is with a large organization within the financial services industry. The company is committed to delivering high-quality financial solution ...

THE POSITION · Our roster has an opening with your name on it · FanDuel Group is hiring a Senior Associate to join our Regulatory Management Team and help drive our world-class regulatory compliance program. The Regulatory Management team is responsible for developing, maintainin ...

Position Overview · Job Title: · Regulatory Support Associate · Corporate Title: · Associate · Location: · New York, NY · Overview · As a Regulatory Support Associate, you would be a member of the Business Supervisory Office (BSO) and work directly with the Front Office and Opera ...

THE POSITION · Our roster has an opening with your name on it · FanDuel Group is hiring a Senior Associate to join our Regulatory Management Team and help drive our world-class regulatory compliance program. The Regulatory Management team is responsible for developing, maintainin ...

The Regulatory Relations and Public Policy Group (RRPP) is dedicated to managing supervisory engagements and advising on governmental and regulatory strategy in support of SMBC's enterprise goals and business strategies. · Supporting regulatory examination and/or advisory service ...

We are seeking a Regulatory Reporting Associate to join our Finance & Accounting team in New York. This role focuses on broker-dealer regulatory reporting including SEC Rule 15c3-1. · Prepare weekly and monthly customer reserve formula computations. · Calculate net capital calcul ...

Job Description · The Commercial and Investment Bank (CIB) Regulatory Affairs Team is tasked with the CIB's strategy for policy, engagements, and leadership on all regulatory policy initiatives affecting the CIB businesses in the US and global markets. · As an Associate on the CI ...

We are seeking an Associate to join our Regulatory Operations team in NYC. The role involves monitoring live reporting queues, performing exception management and regulatory projects with mandated FINRA compliance deadlines. · Monitor and manage live reporting queues across FINRA ...

Company Description · We're a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have ...

The Regulatory Reporting Associate will prepare and review aspects of weekly and monthly customer reserve formula computations, net capital calculations, FOCUS reports for submission to regulators. · ...

A diversified financial services firm is seeking an experienced professional to join its Regulatory Reporting function within Finance. This role is responsible for ensuring compliance with U.S. broker-dealer financial responsibility rules and regulatory filing requirements. · ...

A diversified financial services firm seeks an experienced professional for Regulatory Reporting within Finance. · ...

Company Description · We're a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have ...

The Regulatory Officer, Associate works with the Regulatory Relations team to implement and execute SMBC's regulatory engagement framework and strategy in connection with its supervisory and prudential regulators. · Participating in all phases of the regulatory examination lifecy ...

We are currently seeking a mid-level Associate with significant experience advising clients on compliance with federal and state electricity regulations.The ideal candidate will have a strong background representing clients in administrative proceedings before agencies such as th ...

We are hiring a Regulatory Associate to join our Regulatory Affairs team. The role involves drafting and formatting insurance policy documents for Oscar's Individual Plan portfolio. · Draft core insurance policy documents such as the Evidence of Coverage and Outline of Coverage. ...

The Commercial and Investment Bank (CIB) Regulatory Affairs Team is tasked with the CIB's strategy for policy, engagements, and leadership on all regulatory policy initiatives affecting the CIB businesses in the US and global markets.  · As an Associate on the CIB Regulatory Affa ...

This role is responsible for preparing assigned regulatory reports accurately and on time in accordance with U.S. GAAP and regulatory authority instructions. · ...