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SEC Investment Advisors Act of 1940 experience * Develop and maintain compliance policies and procedures. * Conduct compliance audits and risk assessments. * Monitor regulatory developments and ...

Month End Consolidation, SEC and Statutory Reporting; * Financial Master Data Management; and, * Account Reconciliations. * Narrative Reporting. * Profitability and Cost Management Demonstrates ...

Month End Consolidation, SEC and Statutory Reporting; * Financial Master Data Management; and, * Account Reconciliations. Demonstrates thorough abilities and/or a proven record of success as a team ...

S. state with proven expertise in securities laws, including the Investment Company Act of 1940 and SEC filings * Familiarity with the Investment Advisers Act of 1940, the Securities Act of 1933, and ...

... by SEC regulations. Principal Accountabilities: * Assist in design and implementation of Securities Clearing operational workflows and system testing to support the launch of a new securities ...