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Enterprise Role Overview:
Reviews legal entity 15c3-1 net capital or 15c3-3 reserve reports filed with the local regulators and challenges variance analysis. Reviews periodic regulatory calculations and control processes for local regulated entities including Broker Dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams.
Senior Regulatory Controller 15c3-1 role – Vice President / Assistant Vice President (Based on Experience)
Preparation, review and signing off on Daily and monthly 15c3-1 Capital computation.
Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.
Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.
Interacting and providing support to FINRA, SEC, Internal, and public auditors
Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
Help provide guidance and training for team members
Bachelor’s degree (or higher) (finance or accounting strongly preferred)
8-10 years of professional experience in accounting/finance
Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
Strong problem solving skills and analytical abilities
Strong communication and presentation skills
Ability to work well both independently and as part of a team
Strong attention to details
Advanced experience/skills with Excel and complex spreadsheets
Previous experience in the financial services industry
Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3
CPA or equivalent a plus
Series 27 or Ops 99 license a plus
Shift:1st shift (United States of America)
Hours Per Week: 40
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