Regulatory Reporting/Operations with Broker-Dealer, 15c3-3 and Series 27
Regulatory Reporting/Operations with Broker-Dealer, 15c3-3 and Series 27
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$ 160000 - 180000
1 Vacancy
Job Description
CLIENT: FINRA SEC Regulatory Entity
LOCATION: Wall Street NYC
START: Immediate
COMPENSATION: $160000 - $180000
***After six months employees can take advantage of our clients hybrid work model allowing you to work remotely for two days per week.
- Our client: is a Premier Regulatory Accounting Firm that delivers comprehensive accounting and regulatory reporting services to 100 plus FINRA-registered broker-dealers and financial service providers. The firms expertise includes Full Service Bookkeeping & Accounting Series 27 FinOp Licensing Submission of Regulatory Filings for Broker Dealer Members.:
- They are looking for a Regulatory Reporting FinOp to become part of our clients fast-growing team!
KEY RESPONCIBILITIES:
- Assist in the preparation of 15c3-3 Customer and PAB Reserve Computations on a weekly and monthly basis.
- Compile review and submit financial reports to regulatory agencies such as FINRA the SEC and other relevant state or federal bodies.
- Ensure compliance with all applicable regulations including net capital computations customer protection rules and broker-dealer reporting obligations.
- Work closely with clients to collect financial data required for accurate reporting.
- Stay informed of regulatory updates and ensure compliance for both the firm and its clients.
- Analyze financial statements (balance sheets income statements trial balances) for regulatory filing purposes.
- Prepare monthly quarterly and annual financial reports including FOCUS Reports (Financial and Operational Combined Uniform Single Report).
- Provide regulatory reporting guidance to clients and offer recommendations for compliance enhancements.
- Support audits and examinations by regulatory bodies ensuring proper documentation and clear explanations.
- Maintain detailed records of all regulatory submissions and correspondence with regulators. Keep up with industry trends legal changes and best practices in regulatory reporting.
- Licensing: Active Series 27 (Financial and Operations Principal) required. Education: Bachelors degree in accounting Finance Economics or a related field.
- 15c3-3 (Customer Protection Rule) In-depth knowledge of reporting requirements set by FINRA the SEC and other regulatory entities. Solid grasp of broker-dealer accounting principles.
- Bachelors degree in accounting Finance Economics or a related field.
- 2-4 years of experience in regulatory or financial reporting preferably within a broker-dealer or financial services organization. Strong understanding of Broker-Dealer Financial Responsibility Rules including:
- 15c3-1 (Net Capital Rules)
- Familiarity with back-office reporting systems (e.g. Inteliclear BetaNXT Broadridge FIS) is a plus. Advanced Excel skills (pivot tables complex formulas etc.). Experience handling intricate regulatory reporting calculations including:
- ----Net capital haircuts
- ----Segregation excess/deficit calculations
- ----Customer margin deficit/collateral concentration analysis
- Excellent communication skills Ability to simplify complex regulatory concepts for clients and colleagues.
- Strong attention to detail High accuracy when dealing with financial data.
- Problem-solving mindset Ability to work efficiently under pressure and meet deadlines.
MS WORD Resume
required compensation.
Contact information.
Availability
Upon receipt one of our managers will contact you to discuss the position in full detail.
Jason Denmark
Recruiting Manager
INTERMEDIA GROUP INC.
EMAIL:
LINKEDIN:
Employment Type
Full Time
Key Skills
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