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Regulatory Reporting Controller II

Charlotte, North Carolina

Job Description:

  • 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

      Required Skills:

    • 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

      Desired Skills:

    • 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: 


Learn more about this role

Full time


Manages People: No

Travel: No


Talent Acquisition Contact:

Referral Bonus:

Street Address

Primary Location:
401 N TRYON ST, NC, Charlotte, 28255