Broker Dealer Regulatory Reporting
Broker Dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting. The position reports to the Head of Regulatory Reporting.
Key Responsibilities:
ā¢ Prepare and review net capital calculations under SEC Rule 15c3-1 (daily/monthly).
ā¢ Prepare and review customer and PAB reserve computations under SEC Rule 15c3-3 (weekly/monthly).
ā¢ Prepare and review SEC Rule 17a-5 FOCUS reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I).
ā¢ Maintain documentation and internal controls supporting compliance with Financial Responsibility Rules.
ā¢ Liaise with auditors and regulators during examinations.
ā¢ Assess regulatory capital impact of new business initiatives and support ad hoc projects.
Qualifications:
ā¢ 5+ years of broker-dealer regulatory reporting experience (15c3-1, 15c3-3, FOCUS).
ā¢ Strong knowledge of Financial Responsibility Rules, including possession or control requirements.
ā¢ Client Series 27 (or ability to obtain)
Apply Now
Apply Now
Key Responsibilities:
ā¢ Prepare and review net capital calculations under SEC Rule 15c3-1 (daily/monthly).
ā¢ Prepare and review customer and PAB reserve computations under SEC Rule 15c3-3 (weekly/monthly).
ā¢ Prepare and review SEC Rule 17a-5 FOCUS reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I).
ā¢ Maintain documentation and internal controls supporting compliance with Financial Responsibility Rules.
ā¢ Liaise with auditors and regulators during examinations.
ā¢ Assess regulatory capital impact of new business initiatives and support ad hoc projects.
Qualifications:
ā¢ 5+ years of broker-dealer regulatory reporting experience (15c3-1, 15c3-3, FOCUS).
ā¢ Strong knowledge of Financial Responsibility Rules, including possession or control requirements.
ā¢ Client Series 27 (or ability to obtain)
Apply Now
Apply Now