VP, Regulatory Reporting - Broker Dealer

VP, Regulatory Reporting – Broker Dealer Location: Stamford, CT – 2 days on site. Base pay range: $150,000 – $160,000 per year.

Responsibilities

Complete/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 & the preparation & filing of monthly FOCUS report

Prepare computations/reports/filings accurately

Assist in researching and providing explanations on report variances

Implement new systems and solutions to improve the regulatory process

Keep abreast of the applicable rules and regulations

Create timely, high-quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy & completeness

Track policies and procedures for the regulatory reporting group

Qualifications

Must have minimum of 5+ years of broker dealer financial regulation or accounting firm experience auditing a US regulated broker dealer

Must have experience working with SEC rule 15c3-1 and 15c3-3

Strong Accounting background

Series 27 or CPA a plus

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Accounting/Auditing

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