Position- Broker Dealer Reporting Control Specialist

Location: Jersey City NJ - Hybrid (3 days onsite, 2 days remote)

Job Description:

• Perform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc.
• Propose improvements to the operational and financial control framework on broker dealer regulatory reporting processes
• Monitor on the applicable perimeter, the evolution of the risks, the normative and regulatory changes and the projects.

Profile:

• Good knowledge of SEC and Finra regulatory reporting requirement (e.g., 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statements, Finra 4210, etc.)
• Product knowledge in Broker Dealers --- derivatives, loans, funding vehicles, currencies, fixed income, equity securities and commodities
• Minimum 5 years of experience in regulatory examination, regulatory reporting, financial control or related field under Banking & Financial Industry