Role details

VP Broker Dealer Regulatory Reporting

New York   •   USD130,000 - USD175,000   •  Permanent

Bullet points

  • Great career opportunity for self starter
  • Great salary and benefits

About Our Client

Great opportunity in a leading Global finance firm in New York.

Job Description

  • Ability to perform the weekly reserve computation (SEC Rule 15c3-3)
  • Ensure that stock record allocation methodology is appropriate.
  • Ability to perform the preparation of the daily net capital computation (SEC Rule 15c3-1)
  • 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.
  • Ensure compliance with the minimum net capital requirements of all exchanges.
  • Coordinate and interface with regulatory authorities and auditors on all inquiries and annual examinations / audits:
    • FINRA
    • CME
    • SEC
    • CFTC
    • External auditors
  • Prepare the monthly FOCUS Report

The Successful Applicant

  • Bachelor's degree in Accounting, Finance, Economics or other related field of study.
    • CPA and/ or MBA a plus
  • Experience in an investment banking regulatory / statutory accounting environment.
  • Working knowledge of pertinent SEC, CFTC, CME, and FINRA rules and regulations.
  • Analytical and managerial skills - ability to inspire, lead and forward thinking on regulatory topics.

What's on Offer

Great base and bonus + benefits package

Apply for this job

Click the Apply or LinkedIn button below or contact Rosie Hamilton quoting job reference 1219274
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