Top Financial Reporting Executive jobs in Huntsville, AL

Top Financial Reporting Executive plans and directs all aspects of an organization's financial reporting processes. Ensures that all filings, reports, and other official documentation complies with company's regulations and SEC and GAAP reporting guidelines. Being a Top Financial Reporting Executive stays abreast of regulatory changes, advises management of changes, and adjusts policies and procedures to maintain compliance. May be involved with the work of external auditors. Additionally, Top Financial Reporting Executive may require an advanced degree of Finance or accounting. Typically reports to top management. The Top Financial Reporting Executive manages a business unit, division, or corporate function with major organizational impact. Establishes overall direction and strategic initiatives for the given major function or line of business. Has acquired the business acumen and leadership experience to become a top function or division head. (Copyright 2024 Salary.com)

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Regulatory Operations Analyst | Nonfinancial Regulatory Reporting | Financial Licensing Required
  • Raymond James Financial, Inc.
  • Petersburg, TN FULL_TIME
  • Regulatory Operations Analyst | Nonfinancial Regulatory Reporting | Financial Licensing Required-2400718

    Description


    Hybrid Work Environment:
    40% in-office and up to 60% work-from-home, if desired. Must live within commutable distance from our home office.

    Our home office locations are: St. Petersburg, FL, Memphis, TN and Southfield, MI.

    Job Summary:
    Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations. Collaborates with management to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational and regulatory risk. Works with management to update processes as well as updating departmental procedures with guidance from Supervisor/Manager. Recommends solutions to problems. Contact with internal customers as well as internal auditors as required to research, identify and resolve observations. Assist in the development and coordination of operational desktop procedures, written supervisory policies (WSPs), validating the reports for completeness and accuracy prior to submission with guidance from Supervisor/Manager.

    Essential Duties and Responsibilities
    • Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
    • Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)
    • Assists and provides input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures
    • Compiles operational information for internal and external auditors (e.g. FINRA, SEC) with limited oversight
    • Plans and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues
    • Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manor; draft recommendations to mitigate risk
    • Participates on projects
    • Performs other duties and responsibilities as assigned

    Qualifications

    Knowledge, Skills, and Abilities:

    Knowledge of:
    • Non-Financial Regulatory reporting requirements
    • Financial market impacts
    • Regulatory terminology, concepts, and guidance
    • Back Office brokerage operations processes and procedures
    • Trading life cycle (Orders, Executions, Allocations)
    • FINRA, SEC and Exchange trading rules, regulations and laws
    Skill in:
    • Creating procedures and business process workflow documentation
    • Evaluating processes/systems and identifying risks and controls;
    • Recommending appropriate actions/revisions to resolve gaps or mitigate risk
    • Microsoft Office (Excel, Access, PowerPoint) and other software applications
    • Written and Verbal Communication
    • Operating standard office equipment
    Ability to:
    • Proactively engage, collaborate and influence business partners in the adoption of identified opportunities to create or enhance a process
    • Support efforts in the evaluation or implementation of an existing or new process
    • Interpret financial/brokerage rules, regulations and security laws; ensure all industry rules, regulations, and the practice follows security laws that apply to a process
    • Manage multiple tasks with potential interruptions and changing priorities
    • Quickly understands complex subject matters
    • Demonstrate critical thinking in a constantly changing environment

    Educational/Previous Experience Requirements:
    • Bachelor’s Degree (B.A.) in related field and minimum of two (2) years’ experience in the areas of accounting, banking and/or financial services
      ~or~
    • Any equivalent combination of experience, education, and/or training approved by Human Resources

    Licenses/Certifications:
    • SIE required provided that an exemption or grandfathering cannot be applied.
    • Series 99 or ability to obtain within 120 days (as required by FINRA), required.

    Raymond James Guiding Behaviors
    At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

    We expect our associates at all levels to:
    • Grow professionally and inspire others to do the same
    • Work with and through others to achieve desired outcomes
    • Make prompt, pragmatic choices and act with the client in mind
    • Take ownership and hold themselves and others accountable for delivering results that matter
    • Contribute to the continuous evolution of the firm
    At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
    Job Operations
    Primary Location US-MI-Southfield-Southfield
    Other Locations US-AZ-US-Tennessee, US-FL-St. Petersburg-Saint Petersburg
    Organization Operations & Administration
    Schedule Full-time
    Shift Day Job
    Travel Yes, 10 % of the Time

    Eligible for Discretionary Bonus Yes
    #LI-CA1
  • 1 Month Ago

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Director Financial Reporting
  • Alabama A&M University
  • Normal, AL FULL_TIME
  • Location: Normal, AL Category: Administrative/Managerial Posted On: Fri Aug 18 2023 Job Description: Summary: This professional leadership accounting position requiring an advanced skill-set and abili...
  • 12 Days Ago

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Financial Reporting Director
  • Axient, LLC
  • Huntsville, AL OTHER
  • Overview Axient is looking for a Financial Reporting Director that is a Senior level manager in a corporate role with a dynamic mid-market government contractor. The successful candidate will provide ...
  • Just Posted

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Sales Development Executive
  • UniTrust Financial Group
  • Huntsville, AL FULL_TIME
  • Sales Development Executive Location: Remote (Virtual, Work From Home) Job Description: InsuraTec Services Group is looking for passionate and driven individuals to join our team as Sales Development ...
  • 10 Days Ago

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Executive Administrative Assistant (Top Secret - HSV)
  • SiloSmashers
  • Huntsville, AL FULL_TIME
  • Executive Administrative Assistant SiloSmashers is seeking an experienced Executive Administrative assistant to support our federal law enforcement client. The Administrative Support performs a variet...
  • 4 Days Ago

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Executive Administrative Assistant(Top Secret - HSV)
  • SiloSmashers
  • Huntsville, AL FULL_TIME
  • Executive Administrative Assistant SiloSmashers is seeking an experienced Executive Administrative assistant to support our federal law enforcement client. The Administrative Support performs a variet...
  • 7 Days Ago

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0 Top Financial Reporting Executive jobs found in Huntsville, AL area

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Internal Revenue Agent (Examiner) - (Temp NTE 1 Year, MBE, MBMP) 12 MONTH ROSTER (AMENDED)
  • Department Of The Treasury
  • Huntsville, AL
  • Duties WHAT IS THE SMALL BUSINESS/SELF EMPLOYED (SB/SE)DIVISION? A description of the business units can be found at: ht...
  • 3/27/2024 12:00:00 AM

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Internal Revenue Agent (Examiner) - 12 MONTH ROSTER
  • Department Of The Treasury
  • Huntsville, AL
  • Duties WHAT IS THE SMALL BUSINESS/SELF-EMPLOYED (SB/SE) DIVISION? A description of the business units can be found at: h...
  • 3/27/2024 12:00:00 AM

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Contracts and Compliance Officer
  • PeopleTec, Inc.
  • Huntsville, AL
  • Responsibilities: As a Contracts and Compliance Officer, you will play a vital role in ensuring that our organization ad...
  • 3/27/2024 12:00:00 AM

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Cashier/Front Desk
  • Altitude Trampoline Park
  • Huntsville, AL
  • Cashier/Front Desk **Altitude Trampoline Park Huntsville, AL is looking for energetic individuals with a passion for gue...
  • 3/27/2024 12:00:00 AM

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FMS Financial Analyst
  • MDW Associates
  • Huntsville, AL
  • MDW Associates is seeking a Mid-to-Senior Level Financial Analyst to work in support of our Missile Defense Agency (MDA)...
  • 3/27/2024 12:00:00 AM

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Financial Reporting Director
  • Axient
  • Huntsville, AL
  • **Overview** Axient is looking for a **Financial Reporting Director** that is a Senior level manager in a corporate role...
  • 3/26/2024 12:00:00 AM

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Internal Revenue Agent (Reviewer - Examiner) 12 MONTH ROSTER - AMENDED
  • Department Of The Treasury
  • Huntsville, AL
  • Duties WHAT IS THE WHISTLEBLOWER OFFICE (WBO) DIVISION? A description of the business units can be found at: https://www...
  • 3/25/2024 12:00:00 AM

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Assistant Branch Manager & Management Hire
  • Under Armour
  • Huntsville, AL
  • Responsibilities The Assistant Store Manager supports the Store Manager in the daily operations of the store This includ...
  • 3/25/2024 12:00:00 AM

Huntsville is a city located primarily in Madison County in the Appalachian region of northern Alabama. Huntsville is the county seat of Madison County. The city extends west into neighboring Limestone County and south into Morgan County. Huntsville's population was 180,105 as of the 2010 census. Huntsville is the third-largest city in Alabama and the largest city in the five-county Huntsville-Decatur-Albertville, AL Combined Statistical Area, which at the 2013 census estimate had a total population of 683,871. The Huntsville Metropolitan Area's population was 417,593 in 2010 to become the 2n...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Top Financial Reporting Executive jobs
$229,751 to $351,380
Huntsville, Alabama area prices
were up 1.3% from a year ago

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