Phaxis
The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business. This role requires a deep understanding of SEC, Client, NFA, CFTC, and exchange regulations to maintain compliance and support key financial reporting functions.
Key Responsibilities:
- Customer and PAB Reserve Calculations (15c3-3):
- Perform daily and weekly customer and PAB reserve calculations.
- Monitor and validate source system reports to ensure data accuracy and integrity.
- Regulatory Capital Calculations & Reporting (15c3-1):
- Prepare daily, monthly, and quarterly regulatory capital reports, including FOCUS, SLS, and OBS filings.
- Process daily files from sub-ledger systems (Client) and investigate variances.
- Ensure compliance with regulatory requirements from SEC, Client, NFA, CFTC, and other exchanges.
Qualifications & Experience:
- 10+ years of experience in regulatory reporting for a clearing broker-dealer.
- Strong knowledge of SEC 15c3-1 (net capital rule) and 15c3-3 (customer protection rule).
- Client Series 99 required, Series 27 strongly preferred.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing
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