Regulatory Reporting Associate

Full Time



PLEASE NOTE: Client is open to SEC, OCC and FED reporting experience

What is the opportunity?

You will prepare and file various Broker-Dealer Regulatory Reports and assist with projects and process improvement initiatives. You will also ensure compliance with SEC, FINRA, CFTC, etc., Regulatory Reporting Requirements.

Job Duties:

· Assist in all aspects of preparing the FOCUS and Supplemental Reports, i.e., SSOI, OBS, SIS, Form Custody & Schedule 1.

· Responsible for Net Capital Calculations under SEC Rule 15c3-1 including but not limited to haircuts on securities and operational charges (Fails, Borrows, Repo’s, etc) as well as reconciliations to the Balance Sheet.

· Responsible for the preparation of the weekly and month end 15c3-3 Customer and PAB Reserve calculations.

· Assist with the Daily Net Capital computation for both broker dealers.

· Own the preparation of the month end variance analysis package presented to Senior Management.

· Involvement in Regulatory exams and audits. Provide support and documentation when required.

· Develop detailed policies and procedures which the broker dealer utilizes to comply with Regulatory Reporting requirements.

· Proactively identify areas for improvement and automation to reduce operational risks and enhance the control environment.

· Lead contact for internal and external audit remediation points.

· Assist in the preparation and filing of weekly and monthly FR2004 series reports.

Job Requirements:

· Bachelor’s degree or work equivalent.

· Strong knowledge of Broker-dealer Regulatory Reporting (Rules 15c3-1 and 15c3-3).

· Excellent PC skills, including proficiency in Excel and strong knowledge of Regulatory Applications (i.e. DASH: Fixed Income Haircuts and Risk Based Haircuts).

· Familiarity with stock record and corresponding security allocations as they relate to the 15c3-3 reserve formula.

· Ability to identify areas for improvement and lead efforts to implement change.

· Strong oral and written communication skills.

· Excellent organizational skills needed to manage multiple and competing priorities.

Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

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