Broker Dealer Regulatory Reporting Associate
Title : Broker Dealer Regulatory Reporting Associate
Office Status : 2x a week in Stamford CT
Salary : $100,000-$125,000
A midsize digital investment bank is seeking a Broker Dealer Regulatory Reporting Associate. This position will report to the Director of Financial Regulation.
This is a small team that works closely that will provide opportunities of quick internal growth.
Details :
- Be a member of a team of regulatory reporting professionals responsible for producing daily and month end SEC 15c3-1 capital computations, FRB2004 reporting, daily CFTC SEG calculations and weekly / monthly SEC 15c3-3 reserve formula computations
- Accurately prepare computations / reports / filings
- Aid in researching and providing explanations on report variances
- Implement new systems and solutions to improve the regulatory process
- Maintain a continued understanding of the applicable rules and regulations
- Produce timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy and completeness
- Document policies and procedures for the regulatory reporting group
Qualifications :
- Candidate must have minimum of 3 years of broker dealer or accounting firm experience working with SEC rule 15c3-1 and 15c3-3
- Series 27 or CPA a plus
- Strong Accounting background
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