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Global Investment Bank in Midtown
Fantastic career opportunity
About Our Client
This is a Global Investment Bank, centrally located in Midtown, New York. Seeking a hands on FINOP with product knowledge across fixed income, repos, stock borrows and stock loans.
- Preparation of Regulatory Reports including;
- FINRA FOCUS ( Monthly)
- SEC 17-H (Quarterly)
- SIPC (Annually)
- Preparation of NSA year-end audited US GAAP financial Statements, including footnotes disclosures.
- Develop, implement and maintain internal controls procedures.
- Assume process improvement and efficiency projects, including automation of preparation of Regulatory Reports.
- Manage all regulatory inquiries and periodic examinations.
- Prepare and present to Senior Management Regulatory Reports results including variance explanations.
- Develop strong working relationship with Broker Dealer Management, Compliance, Front Office and Operations to review current and establish new regulatory controls.
- Oversee preparation of 15c3 reports such as;
- Daily 15c3-1 net capital calculations
- Weekly 15c3-3 customer reserve calculations
- Weekly FINRA leverage ratio reporting
The Successful Applicant
- Bachelor's degree (Major Accounting/Finance)
- Professional accounting qualification, preferably CPA
- Series 27 license
- 7-10 years experience
- Experience in financial services and exposure to financial accounting and statutory reporting in a service industry environment (preferred)
- Previous exposure to regulatory reporting for US regulated entities
- Strong MS Office / PC Skills
- Excellent verbal and written communication / presentation skills.
What's on Offer
Competitive base, bonus and benefits.