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Manager - Broker Dealer Reporting
Leading Capital Markets Firm
New York, NY
About Our Client
Broker Dealer arm of large investment bank in New York, NY
- Manage preparation of financial and regulatory reporting subsequent to the creation of the holding company in cooperation with its subsidiaries
- Produce certain aspects of the weekly and month end Customer/PAB reserve formulas (SEA Rule 15c3-3)
- Report financial results to senior management for Focus reporting package relating to SEA Rule 15c3-1 and 15c3-3
- Assist in the interpretation and the implementation of new rules and regulations (i.e. SEC Amendments, Dodd Frank)
- Assist with the SEC & FINRA supplemental financial reporting
- Liaison with regulatory examination teams and auditors during examinations and audits
- Participate in the month end balance sheet close
- Assist in the preparation of the Broker Dealer's financial statements.
- Participate in special project work
The Successful Applicant
- Bachelor's degree required; Accounting or Finance degree.
- Must have working knowledge of SEC rules and regulations, primarily SEA Rule 15c3-1 and SEA Rule 15c3-3 and 17a-5.
- 5-8 years' experience in SEC broker dealer regulatory capacity.
- Background in broker dealer audit and examinations is highly preferred.
- The ideal candidate should be highly motivated and must have excellent oral and written communication skills to effectively communicate throughout the organization.
- Must demonstrate problem solving and organizational skills and attention to detail and accuracy.
What's on Offer
Competitive compensation and full benefits