Accounting, Brokerage, Capital Analysis, Documentation, Finance, Financial Compliance, Financial Management, Regulations, Regulatory Compliance, Regulatory Reports, Regulatory Submissions, Securities and Exchange Commission (SEC)
Broker Dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting. The position reports to the Head of Regulatory Reporting.
Key Responsibilities:
Prepare and review net capital calculations under SEC Rule 15c3-1 (daily/monthly).
Prepare and review customer and PAB reserve computations under SEC Rule 15c3-3 (weekly/monthly).
Prepare and review SEC Rule 17a-5 FOCUS reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I).
Maintain documentation and internal controls supporting compliance with Financial Responsibility Rules.
Liaise with auditors and regulators during examinations.
Assess regulatory capital impact of new business initiatives and support ad hoc projects.
Qualifications:
5+ years of broker-dealer regulatory reporting experience (15c3-1, 15c3-3, FOCUS).
Strong knowledge of Financial Responsibility Rules, including possession or control requirements.
Client Series 27 (or ability to obtain)
P
Phaxis
We stand for PERSEVERANCE, as we refuse to quit when the journey gets tough. Your gold is our mission, and we search day and night to find it.
50 to 99 employees
Staffing/Employment Agencies