Senior Regulatory Reporting Controller

Employment Type

: Full-Time


: Miscellaneous

Job Description: Enterprise Role Overview: Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams. Interpret and advise on new rules and regulations impacting locally regulated entities. Description: * Senior Regulatory Controller 15c3-3 role - Vice President / Assistant Vice President (Based on Experience) * Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation. * Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance. * Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation. * Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors * Review and preparation of month end 15c3-3 schedules for FOCUS Reporting * Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation * Help provide guidance and training for team members * Required Skills: * Bachelor's degree (or higher) (finance or accounting strongly preferred) * 8-10 years of relevant professional regulatory experience in accounting/finance * Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines * Strong problem solving skills and analytical abilities * Strong communication and presentation skills * Ability to work well both independently and as part of a team * Strong attention to details * Advanced experience/skills with Excel and complex spreadsheets Desired Skills: * Previous experience in the financial services industry * Strong technical, communication and analytical skills * FINRA Series 99 or 27 * CPA or equivalent a plus Shift: 1st shift (United States of America) Hours Per Week: 40

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