Senior Regulatory Reporting Controller
Employment Type: Full-Time
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.
* 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
* 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
* Previous experience in the financial services industry
* Strong technical, communication and analytical skills
* FINRA Series 99 or 27
* CPA or equivalent a plus
1st shift (United States of America)
Hours Per Week: