- Enterprise Role Overview:
Prepares legal entity regulatory reporting and calculations, performs and documents control processes for local Broker Dealers and other legal entities, prepares/reviews data submissions for regulatory reporting teams.
U.S. Broker Dealer Regulatory Reporting Controller II –
- Preparation of Daily and monthly 15c3-3 or 15c3-1 Capital computation.
- Responsible for the maintenance of 15c3-3 or 15c3-1 procedures, control documentation, and spreadsheet compliance.
- Responsible for responding to queries from Business Partners related to the daily 15c3-3 or 15c3-1 capital computation.
- Assistance with providing support to FINRA, SEC, Internal, and public auditors
- Working with GFCI (Offshore) team for tasks related to 15c3-3 or 15c3-1 capital
- Bachelor’s degree (or higher) (finance or accounting strongly preferred)
- Minimum of four years of professional experience in accounting/finance
- Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3
- Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
- Strong problem solving skills and analytical abilities
- Strong communication and presentation skills
- Ability to work well both independently and as part of a team
- Strong attention to details
- Advanced experience/skills with Excel and complex spreadsheets
- Previous experience in the financial services industry
- CPA or equivalent a plus
- Series 27 or Ops 99 license a plus
1st shift (United States of America)
Hours Per Week:
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