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U.S. Broker Dealer Senior Regulatory Reporting Controller

Charlotte, North Carolina

Job Description:

Senior Regulatory Controller 15c3-1 role – Vice President

  • Preparation, review and signing off on Daily and monthly 15c3-1 Capital computation.
  • Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.
  • Interacting and providing support to FINRA, SEC, Internal, and public auditors
  • Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
  • Help provide guidance and training for team members

Required Skills:

  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)
  • 10+ years of professional experience supporting broker dealer regulatory reporting (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
  • Series 27 license or Ops 99 license
  • CPA or equivalent a plus

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Senior Regulatory Controller 15c3-1 role – Vice President

  • Preparation, review and signing off on Daily and monthly 15c3-1 Capital computation.
  • Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.
  • Interacting and providing support to FINRA, SEC, Internal, and public auditors
  • Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
  • Help provide guidance and training for team members

Required Skills:

  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)
  • 10+ years of professional experience supporting broker dealer regulatory reporting (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
  • Series 27 license or Ops 99 license
  • CPA or equivalent a plus

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21068889

Band: H4

Manages People: No

Travel: No

Manager:

Talent Acquisition Contact:

Joseph Birkel

Referral Bonus:

0

Street Address

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