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Regulatory Reporting Controller II

Charlotte, North Carolina

Job Description:

U.S. Broker Dealer Regulatory Reporting Controller II –

  • Preparation of Daily and monthly 15c3-1 or 5c3-3 Capital computation or swap dealer reporting.
  • Responsible for the maintenance of 15c3-1 or 15c3-3 or swap dealer procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 or 15c3-3 capital computation.
  • Assistance with providing support to FINRA, SEC, Internal, and public auditors
  • Working with GFCI (Offshore) team for tasks related to 15c3-1 or 15c3-3 reporting

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 or 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

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

U.S. Broker Dealer Regulatory Reporting Controller II –

  • Preparation of Daily and monthly 15c3-1 or 5c3-3 Capital computation or swap dealer reporting.
  • Responsible for the maintenance of 15c3-1 or 15c3-3 or swap dealer procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 or 15c3-3 capital computation.
  • Assistance with providing support to FINRA, SEC, Internal, and public auditors
  • Working with GFCI (Offshore) team for tasks related to 15c3-1 or 15c3-3 reporting

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 or 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

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21076129

Band: H5

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