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Senior Regulatory Reporting Controller

Charlotte, North Carolina

Job Description:

Enterprise Role Overview:

Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams. Interpret and advise on new rules and regulations impacting locally regulated entities.


  • Senior Regulatory Controller 15c3-3 role – Vice President / Assistant Vice President (Based on Experience)

  • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation.

  • Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance.

  • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation.

  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors

  • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting

  • Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation

  • Help provide guidance and training for team members

Required Skills:

  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)

  • 8-10 years of relevant professional regulatory experience in accounting/finance

  • 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

  • Strong technical, communication and analytical skills

  • FINRA Series 99 or 27

  • CPA or equivalent 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