Investment Banking Client
Office Status: Hybrid
Responsibilities:
- Perform month end closing processes, including preparation of various financial and regulatory reporting for broker-dealer.
- Maintain balance sheet substantiation schedules and supporting documentations for review by management.
- Assist in the filing of head office financial and regulatory reports.
- Ensures all appropriate legal and regulatory requirements are met and fosters a “Compliance and due process culture” for the Finance activities.
- Preparation of the daily net capital computation under the SEC Rule 15c3-1. Review data input and reconciliation results and make necessary adjustment(s).
- Preparation of the weekly reserve formula computation under the SEC Rule 15c3-3. Review data input and reconciliation results and make necessary adjustment(s).
- Prepare monthly/quarterly FOCUS reports including all supplemental schedules for review by the senior management.
- Prepare regulatory report filing to SEC, SIPC, Federal Reserve Bank of NY, and Department of Commerce.
- Prepare annual and semi-annual financial statements including supporting documentation for review by the senior management and external auditor.
- Prepare data for head office financial (IFRS) and regulatory reporting to the Parent company.
- Responsible for the analysis and reconciliation of sub ledger and general ledger, including month end journals and schedules. Identify required adjustments and manage necessary actions.
- Coordination with internal and external auditors.
- Maintain current procedural documentation.
- Other duties as assigned