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Online Resumes with "15c3 3"
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
Financial professional with experience in researching and interpreting SEC rule 15c3-1 and 15c3-3.
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...
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...