Senior Regulatory Reporting Controller (15c3-1)

Charlotte Permanent USD125,000 - USD175,000
  • Competitive compensation
  • Opportunity for growth in well established firm

About Our Client

My client is a leader in the Banking industry that provides various financial products and services. This well established Investment Bank provides consumers, corporations, governments, and institutions with a broad range of financial products and services. Which include consumer banking, credit, corporate and investment banking, securities brokerage, and wealth management.They have ambitious growth plans this year as a part of their long term strategy, so the need for a VP, Broker Dealer Regulatory Reporting is imperative.

Job Description

  • Prepare and file the monthly FOCUS reports
  • Ensure the SEC Rules 15c3-1 (Net Capital) and 15c3-3 (Customer Reserve Computation) are compliant
  • Assisting with the preparation of the monthly Focus report and daily net capital estimates.
  • Provide information to and coordinate requests for internal and external audits and regulatory exams.
  • Assisting with the preparation of the 15c3-3 customer reserve computation. Assisting with the SEC & FINRA supplemental financial reporting.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

  • Bachelor's degree in Accounting, Finance, or related field
  • 6-10 years of Regulatory or Accounting experience in the financial industry
  • Knowledge of 15c3-1 or 15c3-3
  • Proficient in Microsoft Excel (Pivot Tables, V-Look ups, Macros)

What's on Offer

  • Competitive Base
  • Significant performance related annual bonus
  • Strong Benefits Plan
Gordon Bonker
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Job summary

Banking & Financial Services
Sub Sector
Accountancy & Finance
Financial Services
Contract Type
Consultant name
Gordon Bonker
Job Reference