NatWest Markets Plc
Regulatory Reporting Manager, VP
NatWest Markets Plc, Stamford, Connecticut, United States, 06925
Overview
Regulatory Reporting Manager, VP role at NatWest Markets Plc. This role is based in the United States and all normal working days must be carried out in the United States. This job description is intended to describe the general requirements for the position and is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business. Responsibilities
Be a member of a team of regulatory reporting professionals responsible for producing daily, weekly, and month end reporting for SEC, CFTC, and other regulatory agencies. Complete or review reports for daily SEC 15c3-1 capital computations, FRB 2004 reports, TIC reporting, daily CFTC SEG calculations, weekly/monthly SEC 15c3-3 reserve formula computations and the preparation and filing of the monthly FOCUS report. Accurately prepare computations/reports/filings. Aid in researching and providing explanations on report variances. Implement new systems and solutions to improve the regulatory process. Maintain a continued understanding of the applicable rules and regulations. Produce timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy and completeness. Document policies and procedures for the regulatory reporting group. Qualifications/Skills
BA/BS in numerate, finance or business discipline. Minimum 6+ years of broker-dealer financial regulation or accounting firm experience auditing a US regulated broker-dealer. Experience with SEC rule 15c3-1 and 15c3-3. Strong accounting background. Exceptional communication skills, written and verbal. Ability to problem-solve creatively and constructively. Ability to partner with business stakeholders internally and externally. Timely and accurate regulatory filings. Disciplined work ethic with a high standard of excellence for the team and themselves. Awareness of own strengths and limitations and active improvement efforts. Maintains personal drive and resilience to achieve excellence for customers, people, and business. Series 27 or CPA a plus. Compensation & Benefits
The expected base annual salary range for this position is $140,000 - $170,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training, licensure, certifications and location. In addition to base salary, the total rewards package includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement. Equal Employment Opportunity: NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries provide equal employment and advancement opportunities to all colleagues and applicants without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer - Disabled/Veteran. See EEO posters for details. Job Details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Research, Analyst, and Information Technology Industries: Banking Location indicators and related postings are provided for context and are not part of the official job description.
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Regulatory Reporting Manager, VP role at NatWest Markets Plc. This role is based in the United States and all normal working days must be carried out in the United States. This job description is intended to describe the general requirements for the position and is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business. Responsibilities
Be a member of a team of regulatory reporting professionals responsible for producing daily, weekly, and month end reporting for SEC, CFTC, and other regulatory agencies. Complete or review reports for daily SEC 15c3-1 capital computations, FRB 2004 reports, TIC reporting, daily CFTC SEG calculations, weekly/monthly SEC 15c3-3 reserve formula computations and the preparation and filing of the monthly FOCUS report. Accurately prepare computations/reports/filings. Aid in researching and providing explanations on report variances. Implement new systems and solutions to improve the regulatory process. Maintain a continued understanding of the applicable rules and regulations. Produce timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy and completeness. Document policies and procedures for the regulatory reporting group. Qualifications/Skills
BA/BS in numerate, finance or business discipline. Minimum 6+ years of broker-dealer financial regulation or accounting firm experience auditing a US regulated broker-dealer. Experience with SEC rule 15c3-1 and 15c3-3. Strong accounting background. Exceptional communication skills, written and verbal. Ability to problem-solve creatively and constructively. Ability to partner with business stakeholders internally and externally. Timely and accurate regulatory filings. Disciplined work ethic with a high standard of excellence for the team and themselves. Awareness of own strengths and limitations and active improvement efforts. Maintains personal drive and resilience to achieve excellence for customers, people, and business. Series 27 or CPA a plus. Compensation & Benefits
The expected base annual salary range for this position is $140,000 - $170,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training, licensure, certifications and location. In addition to base salary, the total rewards package includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement. Equal Employment Opportunity: NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries provide equal employment and advancement opportunities to all colleagues and applicants without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer - Disabled/Veteran. See EEO posters for details. Job Details
Seniority level: Mid-Senior level Employment type: Full-time Job function: Research, Analyst, and Information Technology Industries: Banking Location indicators and related postings are provided for context and are not part of the official job description.
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