Broker Dealer Regulatory Reporting AVP

Full Time

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
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