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VP Broker Dealer Regulatory Reporting
USD130,000 - USD175,000
Great career opportunity for self starter
Great salary and benefits
About Our Client
Great opportunity in a leading Global finance firm in New York.
- 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:
- 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