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Assistant Vice President - Regulatory Reporting Controls Officer
Finance & Investment Industry Company
Jersey City, NJ, United States
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Business Overview:
Global Markets comprises seven Global Business Lines:- G10 Rates, Equity Derivatives, Foreign Exchange & Local Markets, Commodity Derivatives, Credit, Prime Solutions & Financings, and Primary.
Company North America Global Markets Operations is seeking an Assistant Vice President for the Regulatory Reporting Control Group (RRC), working as part of a team covering regulatory reporting sent directly to various regulators including FINRA, CBOE, ISE and others as well as performing T+1 regulatory control reconciliations to identify issues after reports are disseminated to regulators. These control reports will be circulated to the firm’s management to provide insight of the regulatory health of the firm’s two broker/dealers. The candidate will be asked to conduct meetings in NJ & NY to review the regulatory controls performed and issues related to various reports.
Responsibilities:
Preparation of various daily regulatory reporting of the following (but not limited to) providing daily regulatory reports to the regulators as well as internal groups that need the information immediately. Most of the reports are time sensitive and that is why RRC is looking to grow the staff in order to meet these deadlines. Below is a list of some of the responsibilities that the Assistant Vice President will be responsible for processing:
• Preparation of daily regulatory reporting of the following:
◦ 17A-5 daily controls
◦ BlueSheet Reporting
◦ Statements and Confirmations
◦ FRB Reporting
• Analysis and creation of reports from FIS PTC Regulatory Reporting system.
• Participate in various industry working groups related to new rules and regulations.
• Writing of Supervisory Procedures.
• Work on various regulatory projects and create controls necessary to implement new rules and regulations and ensure compliance within those rules.
Qualifications:
Minimum:
Bachelor’s degree in Accounting, Finance, Business or similar.
2-3 years of experience in a similar role & organization with exposure to the majority of points noted above
Understanding of Broker/Dealer Compliance and Capital Markets and trade flows
Product knowledge of Equity and Fixed Income
Excellent written and verbal skills, with confidence and composure at all levels of the business hierarchy
Strong leader who can collaborate and partner is required
Change agent with exemplary attitude:- innovative, enthusiastic, rigorous, execution oriented
Highly skilled multi-tasker with efficient organization skills
Highly ethical and control oriented
Demonstrate a good understanding of broker/dealer regulatory rules.
Highly organized and adept at managing competing deliverables.
Strong team skills but comfortable working independently with clear directives.
Excellent desktop skills – including Excel, Word and PowerPoint.
Innovative and adept at assessing process improvement
Preferred:
Knowledge of FIS Protegent Trading Compliance a plus
FINRA Registrations Required:
Not Applicable
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