Job Description
- Prepare and review regulatory reports in compliance with SEC & CFTC financial regulations and internal company policies.
- Ensure accurate and timely submission of all required files to regulatory agencies.
- Collaborate with internal teams to gather, analyze, and verify data for reporting purposes.
- Monitor changes in regulatory requirements and implement necessary updates to reporting processes.
- Support audits and examinations by providing requested documentation and explanations.
- Assist in the development and maintenance of internal controls for regulatory reporting processes.
- Identify opportunities for process improvement to enhance reporting accuracy and efficiency.
- Maintain a thorough understanding of accounting standards and financial reporting requirements.
A successful Regulatory Reporting Associate should have:
- 5+ years of experience working in the Broker Dealer Industry, preferably experience working with 15c3-1, 15c3-3 Customer Reserve, and FCM regulatory reporting inclusive of CFTC filings.
- Strong knowledge of accounting and financial principles.
- Experience with regulatory reporting within the financial services industry.
- Excellent analytical and problem-solving skills.
- Proficiency in financial reporting systems and tools.
- High attention to detail and accuracy in data analysis and reporting.
- Effective communication and collaboration skills.
- Ability to adapt to changing regulations and reporting requirements.
Numbers & Facts
| Location | Jersey City, NJ |
| Industry | Staffing/Employment Agencies |
| Salary | $60 |
| Company Size | 2,000 to 2,499 employees |
| Year Founded | 2000 |
| Website | http://www.lancesoft.com/ |
About Company
We are a $125 Million, NMSDC-certified Minority & Woman owned Workforce Solutions Company headquartered in the DC metro area with presence across US with global presence - Canada, Mexico, India, UK, Malaysia, Indonasia, Hongkong, Singapore, UAE. We are specialized in providing Workforce Solutions, SOW project delivery, Engineering Solutions, Creative Services. We currently support 100+ Fortune companies globally and across multiple industry segments. We are currently supporting several massive programs across industry segment nationally/globally (Intel, Ally, AMD, QUALCOMM, Morgan Stanley, Kraft/ Mondelez, MNP, Amdocs, Dell, SanDisk, Medtronic, Becton Dickinson, GE, Lockheed Martin, UTC, L-3 Communications, Caterpillar, BMW, Mercedes Benz, National Grid, Dominion, Energy Future Holdings, PSEG, 3M, Fidelity, Aetna, Humana, Johnson & Johnson, Pfizer, Merck etc).
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender, identity, national origin, disability, or protected veteran status.
Skills
- Accountingunmatched
- Accounting Standards and Regulationsunmatched
- Analysis Skillsunmatched
- Brokerageunmatched
- Communication Skillsunmatched
- Corporate Policiesunmatched
- Data Analysisunmatched
- Detail Orientedunmatched
- Documentationunmatched
- Financial Regulationsunmatched
- Financial Reportingunmatched
- Financial Servicesunmatched
- Financial Systemsunmatched
- Monitor Regulationsunmatched
- Policy Implementationunmatched
- Problem Solving Skillsunmatched
- Process Improvementunmatched
- Regulationsunmatched
- Regulatory Complianceunmatched
- Regulatory Reportsunmatched
- Regulatory Requirementsunmatched
- Securities and Exchange Commission (SEC)unmatched
- Team Playerunmatched
- Time Managementunmatched
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