10-K Filing
A 10-K Filing is a detailed yearly report that public companies must submit to the government (SEC). Think of it as a company's annual report card that shows its financial health, business risks, and future plans. This document is important because it gives the most complete picture of a company's situation. When candidates mention experience with 10-K Filings, it usually means they've worked with high-level financial reporting or held leadership positions where they were responsible for company reporting. Similar terms you might see include "Annual Report," "SEC Filings," or "Financial Statements."
Examples in Resumes
Led team responsible for preparing and reviewing 10-K Filing and quarterly reports
Managed the 10-K preparation process for a Fortune 500 company
Coordinated with external auditors and legal counsel on annual 10-K Filings
Supervised the creation and submission of Form 10-K documentation
Typical job title: "Financial Reporting Managers"
Also try searching for:
Where to Find Financial Reporting Managers
Professional Organizations
Online Resources
Job Boards
Example Interview Questions
Senior Level Questions
Q: How would you handle a situation where you discover a potential material misstatement in a previous 10-K filing?
Expected Answer: Look for answers demonstrating leadership, ethical decision-making, and knowledge of proper procedures: immediately informing appropriate executives, working with auditors, and understanding the restatement process if necessary.
Q: What process would you implement to ensure timely and accurate 10-K submissions?
Expected Answer: Should discuss project management skills, internal controls, review procedures, and coordination between departments (accounting, legal, executive team).
Mid Level Questions
Q: What are the key components of a 10-K filing that require special attention?
Expected Answer: Should mention financial statements, management discussion and analysis (MD&A), risk factors, and business description, showing understanding of each section's importance.
Q: How do you ensure accuracy in financial data presented in a 10-K?
Expected Answer: Should discuss review procedures, documentation requirements, coordination with auditors, and internal control processes.
Junior Level Questions
Q: What is the difference between a 10-K and an annual report?
Expected Answer: Should explain that a 10-K is a required government filing with standardized information, while an annual report is a more marketing-focused document for shareholders.
Q: What are the main deadlines associated with 10-K filings?
Expected Answer: Should know basic filing deadlines based on company size and fiscal year-end dates.
Experience Level Indicators
Junior (0-2 years)
- Basic understanding of financial statements
- Assistance with data collection for reports
- Knowledge of SEC filing deadlines
- Familiarity with financial reporting software
Mid (2-5 years)
- Preparation of financial statements
- Coordination with auditors
- Understanding of SEC requirements
- Experience with report drafting
Senior (5+ years)
- Overall responsibility for filing accuracy
- Management of filing process
- Strategic financial planning
- Team leadership and stakeholder communication
Red Flags to Watch For
- No experience with financial reporting software
- Lack of attention to detail in financial documentation
- Poor understanding of SEC compliance requirements
- No experience working with external auditors
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