What are the responsibilities and job description for the Sr. Regulatory Accountant position at Chicago Financial Search, Inc.?
Sr. Regulatory Accountant
Chicago - Onsite
About The Role :
As our Senior Regulatory Accountant, you'll be tasked with preparing, reviewing, and submitting precise regulatory filings to agencies such as the SEC, FINRA, and CME, ensuring the brokerage firm remains compliant with all securities trading regulations.
What You'll Do :
- Data Collection and Analysis : Collect trade data from internal systems and evaluate trading activity to detect potential compliance risks, such as market manipulation, insider trading, best execution, and other regulatory concerns.
- Report Preparation : Compile and submit regulatory filings, including daily, weekly, and monthly reports like CFTC FORM 1-FR, FINRA FOCUS, and other mandated submissions, in alignment with regulatory standards.
- Compliance Oversight : Monitor trading activities to identify and address potential breaches of regulatory rules or internal policies, escalating concerns to compliance officers as needed.
- Regulatory Awareness : Keep updated on changes in securities regulations and industry best practices, adjusting reporting processes to maintain compliance.
- Data Verification : Conduct thorough checks to validate data accuracy and maintain the reliability of regulatory reports.
- Cross-Functional Collaboration : Partner with departments such as accounting, trading, compliance, operations, and legal to collect necessary information and resolve regulatory issues.
- Audit Assistance : Provide support for internal and external audits by addressing inquiries related to regulatory reporting.
What We're Looking For :
OOJ-1413G
