SEC Analyst at Creative Financial Staffing

SEC Analyst

The SEC (Securities and Exchange Commission) Analyst plays a vital role in ensuring compliance with financial regulations and maintaining transparency in the financial markets. This position involves analyzing financial statements, disclosures, and regulatory filings to identify potential violations and ensure adherence to SEC rules and guidelines. The SEC Analyst collaborates with various stakeholders, including internal teams, legal professionals, and regulatory bodies, to support the organization in meeting its legal and regulatory obligations.

Key Responsibilities:

1. Conduct comprehensive reviews of financial statements, disclosures, and regulatory filings to ensure compliance with SEC regulations and reporting requirements.
2. Analyze financial data, including income statements, balance sheets, cash flow statements, and footnotes, to identify inconsistencies, errors, or potential violations of accounting principles.
3. Stay updated on changes in SEC rules, regulations, and reporting standards, and assess their impact on the organization's financial reporting practices.
4. Collaborate with internal teams, such as finance, legal, and compliance, to gather necessary information and ensure accurate and timely reporting to the SEC.
5. Prepare and review documentation, including Forms 10-K, 10-Q, 8-K, and other required filings, to ensure completeness, accuracy, and adherence to SEC guidelines.
6. Assist in the preparation of annual and quarterly financial reports, management discussion and analysis (MD&A), and other SEC filings.
7. Perform research and analysis on emerging accounting and reporting issues, providing recommendations for compliance and process improvement.
8. Support internal and external audits, responding to inquiries, providing requested documentation, and facilitating the resolution of audit findings related to SEC filings.
9. Collaborate with legal professionals to address legal and regulatory issues and ensure the organization's practices align with SEC requirements.
10. Maintain accurate and organized records of financial filings, correspondence, and other documentation to support compliance and regulatory audits.

Qualifications and Skills:

• Bachelor's degree in Accounting, Finance, Business Administration, or a related field. CPA (Certified Public Accountant) qualification is highly desirable.
• In-depth knowledge of SEC regulations, reporting requirements, and accounting principles (e.g., US GAAP).
• Strong analytical skills with the ability to review and interpret complex financial data and identify potential issues or violations.
• Proficient in using financial analysis tools, software, and Microsoft Office Suite (Excel, Word, PowerPoint).
• Excellent attention to detail and accuracy in financial reporting.
• Solid understanding of the financial services industry, investment vehicles, and securities markets.
• Strong written and verbal communication skills, with the ability to present complex financial information in a clear and concise manner.
• Ability to work independently and collaboratively within a team environment.
• Exceptional time management and organizational skills to meet deadlines and manage multiple priorities effectively.
• Knowledge of legal and compliance frameworks, including corporate governance, is advantageous.

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