Charles Sax
Chief Financial Officer, Vice President and Treasurer - Senior Director of Regulatory Reporting at Broadridge
Based in Brentwood, United States
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Seniority
C-Team
Department
Other
Location
Brentwood
Industry
Financial Services
Company size
17K
Contact information
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c•••••••@broadridge.com
Phone
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Background
About Charles Sax
Seasoned regulatory reporting professional in broker-dealer industry seeks to help firms with their regulatory compliance Specialties: accounting, auditing, automation, balance sheet, broker-dealer net capital, budgeting, cash flow, cash management, customer reserve computation, data processing, executive management, finance, financial statements, FOCUS, funds, general ledger, insurance, excel, mainframe, Microsoft Office, operating systems, PC, project management, reports, requirements, securities, supervisory skills Certifications, Licenses and Affiliations: The University of the State of New York - Certified Public Accountant Financial Industry Regulatory Authority ("FINRA")- Series 27-Financial and Operations Principal (FN) and Series 99-Operations Professional (OS) American Institute of Certified Public Accountants ("AICPA")- Chartered Global Management Accountant Securities Industry and Financial Markets Association ("SIFMA") Regulatory Capital and Margin Committee SIFMA Financial Management Society SIFMA Operations and Technology Society Member of AICPA and NYSSCPA
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