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Vice President - Broker Dealer Regulatory Reporting
Global Investment Bank
Fantastic career opportunity
About Our Client
This is a global Financial Services firm with a leading name.
- Ability to perform the weekly reserve computation (SEC Rule 15c3-3)
- Ensure that stock record allocation methodology is appropriate.
- Coordinate with operations and financial accounting on support of key operational information, such as fails, repos, stock record breaks, clearing differences, and subsidiary system cash balances.
- Ability to perform the preparation of the daily net capital computation (SEC Rule 15c3-1)
- Ensure compliance with the minimum net capital requirements of all exchanges.
- Review / prepare:
- Stock loan / borrow deficiencies.
- ALDOP charges.
- Repo charges.
- Determine appropriate treatment of any aged fail items.
- Comprehend the various daily segregation calculations.
- Responsible for direct interactions with financial accounting team and operational staff.
- Coordinate and interface with regulatory authorities and auditors on all inquiries and annual examinations / audits:
- External auditors
- Prepare the monthly FOCUS Report
- Participate in the preparation FOCUS balance sheet and income statement.
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.