- $109,945.00 -170,550.00/year*
Financial Services - Banking/Investment/Finance
10 Bayside Terrace
Job Description - Regulatory Control 15c3-3 Financial Analyst (1809062)
Regulatory Control 15c3-3 Financial Analyst - 1809062
Regulatory Control 15c3-3 Analyst
The role is to monitor daily the activity of fully paid for customer assets to ensure that the firm is in compliance with possession or control requirements in accordance with Customer Protection Rule (15c3-3) and regulatory reporting. Collaborates with management to identify operational efficiency and productivity improvements to mitigate financial, reputational, and regulatory risk.
The Expertise We re Looking For
Bachelor's degree in business, accounting, or finance required
Associated topics: analyse, analysis, bi, business intelligence, business systems analyst, forecasting, investment analytics, refinement, regulation, valuation analyst
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
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