You are here
VP Broker Dealer Regulatory Reporting
Fantastic career opportunity
Broker Dealer arm of leading Financial Services firm
About Our Client
The VP position sits in the Broker Dealer Regulatory Reporting group of this leading Financial Services firm.
· Supervise the preparation and submission of customer reserve (15c3-3) and net capital (15c3-1) computations, FOCUS Reports, and other regulatory filings.
· Analyze results of regulatory calculations and respond to data inquiries.
· Lead and assist analysts in completing their responsibilities.
· Review and evaluate existing processes for efficiency and effectiveness, including identifying and implementing automation opportunities.
· Communicate and present regulatory results to Senior Executives and interact with business partners across the firm.
· Liaise with internal and external auditors, regulators, compliance and internal financial responsibility compliance monitoring.
· Monitor broker dealer capital position and assist in regulatory filings.
The Successful Applicant
- Bachelor's Degree in Accounting or Finance
- Strong Rule 15c3-1 and 15c3-3 knowledge and experience required
- Series 27 a plus
- Federal Reserve reporting a plus (e.g. TIC, Basel)
- Interaction with systems in developing and maintaining technology solutions
What's on Offer
Competitive base, bonus and benefits.