Top Financial Reporting Executive jobs in Tanner, 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
  • 2 Months Ago

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Senior Accountant - Financial Reporting
  • R&S NORTHEAST, LLC
  • Huntsville, AL FULL_TIME
  • The Senior Accountant, Financial Reporting is an integral part of the finance team and will be primarily focused on SEC reporting, technical accounting, and internal controls. This position is located...
  • 15 Days Ago

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Senior Accountant - Financial Reporting
  • R&S NORTHEAST, LLC
  • Madison, AL FULL_TIME
  • The Senior Accountant, Financial Reporting is an integral part of the finance team and will be primarily focused on SEC reporting, technical accounting, and internal controls. This position is located...
  • 15 Days Ago

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Senior Accountant - Financial Reporting
  • R&S NORTHEAST, LLC
  • Pulaski, TN FULL_TIME
  • The Senior Accountant, Financial Reporting is an integral part of the finance team and will be primarily focused on SEC reporting, technical accounting, and internal controls. Candidates must have a s...
  • 15 Days 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...
  • 5 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 ...
  • 21 Days Ago

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

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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...
  • 4/19/2024 12:00:00 AM

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Quality Inspector
  • PDS
  • Huntsville, AL
  • Job Title: Quality Inspector III (CMM) Location: Multiple Locations: Huntsville, AL, Kent WA, Merritt Island FL Shift: M...
  • 4/18/2024 12:00:00 AM

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Acquisition Analyst
  • Qualis Corporation
  • Huntsville, AL
  • Acquisition Specialist supporting Task Force STRIKE on Redstone Arsenal. Duties and Responsibilities (to include but not...
  • 4/18/2024 12:00:00 AM

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Program Finance Analyst, Lead
  • Leidos
  • Huntsville, AL
  • Description The Defense Sector at Leidos currently has an opening for a Program Finance Analyst, Lead to join our financ...
  • 4/17/2024 12:00:00 AM

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Director of Finance
  • Yulista
  • Huntsville, AL
  • Yulista Holding LLC Regular PRIMARY FUNCTION The Director of Finance is responsible for driving the financial planning a...
  • 4/17/2024 12:00:00 AM

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Director of Finance
  • Robert Half
  • Huntsville, AL
  • A well respected company in the Huntsville area is looking to add a Director of Finance to their team. This is a HYBRID ...
  • 4/16/2024 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...
  • 4/16/2024 12:00:00 AM

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Financial Advisor - career shift opportunity
  • Edward Jones
  • Huntsville, AL
  • The freedom and flexibility of an entrepreneur. Backed by our vast resources. It's the best of both worlds. While Edward...
  • 2/27/2024 12:00:00 AM

Tanner is an unincorporated community in central southern Limestone County, Alabama, United States, and is included in the Huntsville-Decatur Combined Statistical Area. It lies nine miles north of the city of Decatur and the Tennessee River, and four miles south of the city of Athens....
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Top Financial Reporting Executive jobs
$224,081 to $342,711
Tanner, Alabama area prices
were up 1.3% from a year ago

Top Financial Reporting Executive in Chattanooga, TN
Based on our compensation data, the estimated salary potential for Top Financial Reporting Executive will increase 16 % over 5 years.
December 01, 2019
Top Financial Reporting Executive in Spokane, WA
During the interview As Top Financial Reporting Executive process employers will want to find out how you respond to supervision.
December 01, 2019