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Madison-Davis, LLC

Broker Dealer Regulatory Reporting Associate

  • Stamford, CT
  • Full Time

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Title: Broker Dealer Regulatory Reporting Associate

Office Status: 2x a week in Stamford CT

Salary: $100,000-$125,000

A midsize digital investment bank is seeking a Broker Dealer Regulatory Reporting Associate. This position will report to the Director of Financial Regulation. This is a small team that works closely that will provide opportunities of quick internal growth.

-Be a member of a team of regulatory reporting professionals responsible for producing daily and month end SEC 15c3-1 capital computations, FRB2004 reporting, daily CFTC SEG calculations and weekly/monthly SEC 15c3-3 reserve formula computations
-Accurately prepare computations/reports/filings
-Aid in researching and providing explanations on report variances
-Implement new systems and solutions to improve the regulatory process
-Maintain a continued understanding of the applicable rules and regulations
-Produce timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy and completeness
-Document policies and procedures for the regulatory reporting group

-Candidate must have minimum of 3 years of broker dealer or accounting firm experience working with SEC rule 15c3-1 and 15c3-3
-Series 27 or CPA a plus
-Strong Accounting background