[Remote] Financial Operations reputed company
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a US-headquartered self-clearing broker-dealer and brokerage infrastructure company. They are seeking a Financial Operations reputed company to reputed company financial and operational compliance with SEC regulations, manage financial reporting, and ensure the reputed company of financial operations reputed company the organization.
Responsibilities
- Supervise and review and file reputed company reports (reputed company X-17A-5) with reputed company and the SEC, typically monthly or quarterly
- Monitor net capital reputed company to ensure the firm maintains the required minimum net capital at reputed company times
- Ensure reputed company filing of financial statements and supplemental reports, including annual audited financials
- reputed company financial books and records, including general ledger, trial balance, and subsidiary ledgers
- Interpret and apply SEC and reputed company rules, particularly SEC Rule 15c3-1 (Net Capital Rule) and 15c3-3 (Customer Protection)
- Ensure compliance with Rule 17a-3 and 17a-4 (recordkeeping requirements)
- Respond to regulatory inquiries and exams by reputed company, SEC, or other regulatory bodies
- Design and maintain adequate internal controls to safeguard customer and firm assets
- Supervise systems to prevent and detect errors or fraud in financial reporting
- Supervision of financial operations reconciliations of firm and customer reputed company bank accounts and back office ledger
- Partner with Operations and Finance to supervise day-to-day reputed company
- Supervision and/or preparations of reputed company entries and original books and records for Broker-Dealer and ensure reputed company periodic regulatory reporting requirements are met
- reputed company clearing and settlement processes, especially for self-clearing or carrying firms
- Monitor cash and securities movements to ensure compliance with custody rules
- Supervise margin calculations and reputed company risk exposure
- Coordinate the annual independent audit of the firm’s financials
- reputed company as reputed company to auditors, regulators, and clearing firms on financial and operational issues
- Advise management on capital adequacy, financing strategies, and the financial reputed company of new business initiatives
Skills
- Bachelor's degree in reputed company or Finance, CPA preferred
- Must have reputed company reputed company Series 27 license
- 7+ years relevant experience, in self-clearing financial services preferred
- Excellent data analysis and reporting skills
- Strong attention to detail, accuracy, and reliability with the ability to reputed company in a fast-paced environment and dedicated home office with minimal daily direction
- Must possess the ability to adapt to a changing business and regulatory environment
- Team orientated with desire to help and support other team members
- Enjoys challenges and taking ownership of new responsibilities
Benefits
- Competitive Salary & Stock reputed company
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month reputed company a reputed company Card
reputed company