VP, Senior Regulatory Reporting Controller

Charlotte Permanent USD170,000 - USD180,000
  • Leading Broker Dealer in Charlotte, NC
  • 15c3-3 and 15c3-1 Experience Required

About Our Client

My client, is a leading domestic broker dealer located in Charlotte, North Carolina. This broker dealer offers trading, brokerage, and other services to it's clients

Job Description

  • Prepare, review, and sign off on the Daily and Monthly 15c3-3 Reserve computation and 15c3-1 daily net capital calculation.
  • Maintain the 15c3-3 reserve and 15c3-1 procedures, control documentation, and spreadsheet compliance
  • Review and prepare month end 15c3-3 and 15c3-1 schedules for FOCUS reporting
  • Collaborate with business partners of queries regarding the 15c3-3 and 15c3-1
  • Assist in team development and training

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 and a minimum of 10 years experience working in a Financial Institution
  • SME in broker dealer regulatory reporting - 15c3-1 and 15c3-3 calculations
  • Proficient in Microsoft Excel (Pivot Tables, V-Look ups, Macros)
  • Series 27, CPA a huge plus

What's on Offer

  • Competitive Base
  • Strong Bonus
  • Excellent Benefits
  • Lucrative Relocation Package
Christine Mellett
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Job summary

Banking & Financial Services
Sub Sector
Accountancy & Finance
Financial Services
Contract Type
Consultant name
Christine Mellett
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