Regulatory Reporting Manager, VP

Our people work differently depending on their jobs and needs. From hybrid working to flexible hours, we have plenty of options that help our people to thrive.

This role is based in the United States and as such all normal working days must be carried out in the United States.

Job Description

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.

Be a member of a team of regulatory reporting professionals responsible for producing daily, weekly, and month end reporting for SEC, CFTC, and other regulatory agencies.

Responsibilities

• Complete or review reports for daily SEC 15c3-1 capital computations, FRB 2004 reports, TIC reporting, daily CFTC SEG calculations, weekly/monthly SEC 15c3-3 reserve formula computations and the preparation and filing of the monthly FOCUS report
• Accurately prepare computations/reports/filings
• Aid in researching and providing explanations on report variances
• Implement new systems and solutions to improve the regulatory process
• Maintain a continued understanding of the applicable rules and regulations
• Produce timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy and completeness
• Document policies and procedures for the regulatory reporting group
  
  
  

Qualifications/Skills

• BA/BA in numerate, finance or business discipline
• Candidate must have minimum of 6 years of broker dealer financial regulation or accounting firm experience auditing a US regulated broker dealer
• Must have experience working with SEC rule 15c3-1 and 15c3-3
• Strong Accounting background
• Exceptional communication skills, written and verbal
• The ability to problem-solve creatively and constructively
• Ability to partner with business stakeholders internally and externally
• Timely and accurate regulatory filings
• Disciplined work ethnic with a high standard of excellence for the team and themselves
• Demonstrates a high level of awareness of own strengths and limitations and actively works to improve their own performance
• Maintains personal drive and resilience to achieve excellence for customers, people, and business.
• Series 27 or CPA a plus
  
  
  

The expected base annual salary range for this position is $140,000 - $170,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.

It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran – review "EEO Is The Law", “EEO is the law- Supplement” & “Pay Transparency Provision” posters here.