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Associate Director - Broker Dealer Regulatory Reporting
Global Investment Bank Seeking Broker Dealer Regulatory Reporting AD
15c3-1 and FR2004 Experience Required
About Our Client
Global Financial Services company.
- Manage a group of two that is responsible for compliance with SEC and CFTC rules.
- Primarily SEC Rule 15c3-1, FOCUS Reporting, Federal Reserve Reporting; FR 2004 A, B, C, SI & WI, TIC Reporting and CFTC Seg, Secured and Swap Reporting for RBC Capital Markets LLC (CM LLC)-
- Develop, enhance and maintain the regulatory control framework for reporting functions
- Own various aspects of the CM LLC FOCUS Report, i.e. Securities Haircuts, and other Capital Charges.
The Successful Applicant
- Bachelor's degree in Accounting or Finance
- Expert in Broker-dealer Regulatory Reporting (15c3-1 and 15c3-3).
- Strong Financial Accounting and Regulatory reporting skills.
- Significant experience in interpreting and implementing US broker dealer rules.
- Knowledge of SEC's Financial Responsibility Rules for Broker-Dealers
What's on Offer
Competitive salary and bonus compensation package