Regulatory Reporting Specialist

Senior Analyst of Regulatory Reporting:

As the Senior Analyst of Regulatory Reporting within the Treasury team, you will be focused on preparing and submitting Net Capital and Customer Segmentation Requirements (15c3-3) reports related to our Broker Dealer business. Your responsibilities will include daily, weekly, monthly, quarterly, and annual report submissions. You will work closely with Treasury, Operations, Legal, IT, and Controller departments in the preparation, validation, and submission of these reports.

Responsibilities:

• Produce Regulatory Reports: Prepare the monthly FOCUS report (SEC Rule 15c3-1)
• Support Regulatory Reports: Assist in the practice of additional filings required or requested by regulatory agencies, including the Federal Reserve, OCC, SEC, Dept of Commerce and various other agencies.
• Process Improvement: Through you own initiative, identify opportunities for automation and process improvement, and work with your manager to implement.
• 15c-3-3 Reserve Calculation: Support the preparation and calculation of the 15c-3-3 reserve requirements, ensuring accurate and timely compliance with regulatory standards.
• SOX Controls: Support SOX controls related to treasury where requested, ensuring strict adherence to internal policies and regulatory requirements.
• Internal and External Audit Support: Coordinate and support internal audits of regulatory reporting processes and collaborate with external auditors to ensure a smooth audit process and timely resolution of any audit findings.
• Charters, committees, procedures: Support our advancement in the rigor of documentation and governance through preparing and supporting procedural documentation, team charters, role charters, and governance charters.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and are able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Bachelor's degree in Accounting, Economics, Finance, or a related field.
• 3 years’ experience in in SEC broker dealer regulatory reporting
• Advanced skills in Microsoft Office Suite: Excel, VB, Access, PowerPoint;

Core Competencies:

• Willingness to learn and perform detail level analysis
• Familiarity with brokerage operations and accounting
• A proven contributor of talent on high performing teams
• Ability to organize and manage multiple priorities
• Ability to work independently and collaboratively in a fast-paced environment
• Strong interpersonal skills and effective communication skills with the ability to interact effectively with all levels of management and colleagues
• Understanding of SOX controls and ensuring compliance over financial reporting

Preferences:

• Advanced degree or relevant certifications (e.g., Masters degree, CTP, CFA) preferred
• Knowledge of SEC rules and regulations, primarily SEC Rule 15c3-1 and SEC Rule 15c3-3

The Company:

A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

Equal Opportunity Employer:

Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.