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We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
$85,000 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated 0 days ago - UpvoteDownvoteShare Job
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Regulatory Operations team is responsible for reporting to external stakeholders in the North America region, including the reporting and monitoring of trade, transaction and position information across a wide range of traded financial products and business lines for the CFTC (Commodity Futures Trading Commission), SEC (Securities and Exchange Commission), and CSA (Canadian Standards Association) obligations.
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Experience with TRF/ORF (listed and OTC Equity Reporting), Equity Trading (Listed and OTC Equities), Regulatory Option Trading Reporting, and Trace Reporting (Corporate/Agency Debt Products/Securitized Products, Treasury Products.
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The Manager of Operational Reporting is an important member of the Accounting Department working under the guidance of the Director of Financial Planning and Analysis in meeting fiscal needs related to the financial close, budgeting, forecasting, analysis, regulatory reporting, and program fiscal support of NYSARC Inc-Nassau County Chapter and its Affiliates.
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The role would suit a qualified accountant (CPA, CIMA, or ACCA) with audit experience in investment management or financials services audit of Mutual Funds, ETF or Alternative products Private equity, Hedge Funds or Real Assets Or experience within a financial reporting & regulatory reporting environment at a fund administrator.
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The Regulatory Affairs Specialist will be responsible for supporting regulatory strategy, conducting regulatory research, producing technical reports to support regulatory implementation or commercialization of new products and processes in the dental/orthodontic area.
$75 - $85 an hourFull-timeExpandUpdated 0 days ago - UpvoteDownvoteShare Job
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As a Barclays US Basel IV Regulatory Capital Reporting Assistant Vice President (AVP), you will be working in the Regulatory Capital Team and will be tasked with the development and on-going circulation and reporting of both point in time and Comprehensive Capital Analysis and Review (CCAR) Projected risk weighted assets (RWAs), capital leverage, and Single Counterparty Credit Limits (SCCL) Large Exposures for Barclays IHC (Intermediate Holding Company) to internal and external stakeholders.
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Primary responsibilities are to support Shell Energy's wholesale/retail trading/origination businesses and Shell Renewable and Energy Solutions related businesses through external advocacy for competitive markets, communicating regulatory changes and impacts of regulatory changes to commercial teams, conducting due diligence on deals to facilitate commercial transactions within existing regulations and managing compliance obligations and reporting in the ERCOT Region.
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With a high degree of visibility and coordination with Finance and Compliance Leadership, the Financial Reporting Senior Accountant is responsible for supporting GAAP financial reporting, regulatory reporting, and covenant reporting for a national mortgage bank and wholly owned subsidiary of a publicly traded company.
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Provide daily reporting on the open regulatory complaints. Comprehensive knowledge of all aspects of mortgage servicing industry, including payment processing, escrow, taxes, insurance, loan boarding, credit reporting, loss mitigation, foreclosure, bankruptcy, etc.
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Guide monthly, quarterly, and annual testing processes, such as MIT, LDAR, engine testing, stormwater, bradenhead testing, water sampling and any/all other field equipment as required by various regulatory agencies.
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Regulatory reporting team in a financial firm seeking a VP level Reg Reporting Specialist with expertise in SEC, FINRA, CFTC rules and regulation. Experience in other areas of regulatory reporting including 15c3-1 Net Capital, FOCUS reporting, and CFTC segregation requirements.
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Completes local, state, and federal reports on a timely basis with collaboration of HR/EHS Manager, which includes, but is not limited to, corporate and regulatory reporting for Work Place Injury Log, GAIA, Environmental and Risk Management Reporting.
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This position will oversee all aspects of submission and continuous reporting to the relevant regulatory agencies, including the Institutional Review Board, the Food and Drug Administration (FDA), the Institutional Biosafety Committee, the institutional Radiation Safety Committee and the pharmaceutical sponsor, funding foundation or governmental agency.
$5,457 - $5,834 a monthFull-timeExpandApply NowActive JobUpdated 1 days ago - UpvoteDownvoteShare Job
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The selected candidate is expected to understand regulatory reporting requirements, financial reporting systems (SAP, BPC, etc.) This is a professional role that is primarily responsible for the financial planning, reporting & analysis needs for FPL Solar Construction Projects.
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