Role details

VP - Broker Dealer Reg Reporting

Jersey City   •  Permanent

Bullet points

  • High exposure to senior management!
  • Join a critical team to a large Financial Services firm!

About Our Client

My client is a Financial Services firm located in Jersey City, NJ. They are looking to hire a VP - Broker Dealer Reg Reporting for their team.

Job Description

  • Participate in the preparation and reconciliation activities of Federal Reserve reporting on behalf of the firm and all submissions of data to our parent company in support of their Federal Reserve and SEC filings. In addition, assist in the preparation of the of customer reserve (15c3-3) and net capital (15c3-1) computations where applicable.
  • Reports/filings include Basel II and III, TIC S, TIC SLT, SHLA, SHCA, LCR/5G, FDIC Deposit reporting, etc.
  • Will be responsible for preparation and / or calculation and submission of moderately complex data, data analysis and responding to data inquiries. Will be required to review and evaluate existing processes for efficiency and effectiveness, including but not limited to automating solutions to decrease dependencies on excel based processes.
  • This role requires attention to detail and multi-tasking in a fast-paced, deadline driven environment. The individual in this role will work independently to complete his/her workload and collaboratively within Regulatory Reporting and with business partners across the firm. This role will also provide support for internal and external audits/examinations. Analyst II will obtain/prepare complex data for inclusion in regulatory reports, comprehend such data, and analytically review against prior periods and expected outcomes.
  • Participate as needed in customer reserve (15c3-3) and net capital (15c3-1) computations.
  • Will be responsible for evaluating day to day tasks and consider adequacy of controls and automation opportunities. Will be asked to prepare ad-hoc reports as needed and special project assignments. Will need to understand regulatory requirements.

The Successful Applicant

  • Bachelor's Degree in a financial discipline such as Accounting or Finance a plus.
  • 7 to 10 years stock brokerage and/or bank reporting experience
  • Federal Reserve TIC reporting preferred
  • Knowledge of Bank reporting such as Basel III, FR-Y9C, FFIEC 101, Deposit Reporting and LCR regulation preferred
  • Strong 15c3-1 and 15c3-3 knowledge and experience a plus

What's on Offer

My client is offering a competitive base + bonus compensation structure for the VP - Broker Dealer Reg Reporting position.

Apply for this job

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