Associate / AVP - Securities Regulatory Reporting (15c3-1 and 15c3-3)

Summary:

In this position, you will leverage your background in accounting / finance and be responsible for securities regulatory reporting with a specific focus on futures.

Regulatory Reporting, responsibilities including:

• Preparation of daily 15c3-1 daily net capital computation for all regulated entities.

• Weekly and month end preparation of the 15c3-3 customer reserve calculation.

• Compute moment-to-moment capital charges on underwriting deals and track confirmed sales on underwriting deals.

• Run and manage Axiom software for regulatory haircuts and charges.

• Prepare the monthly and quarterly regulatory reports.

• Reconcile trade details to general ledger to ensure adequacy of accounting records.

• Coordination with multiple groups across the organization to confirm financial data and static data for regulatory reports.

• Maintenance/update procedure documentation related to new regulatory requirements to ensure firm’s compliance.

• Participate in the research and implementation of new and revised regulatory reporting requirements, as well as the evaluation of regulatory requirements for new products/transactions

• Ad hoc projects and reporting, as requested.

Qualifications:

• DataIku or Alteryx experience is a plus.​
• Regulatory or Accounting experience in the financial industry.
• Series 27 must be obtained prior or after employment.
• Bachelor's degree in Accounting or Finance preferred.
• Microsoft Excel proficient

The expected base salary ranges from $88,000 - $125,000. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications and licenses obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, including Medical, Dental and 401K plans, successful candidates are also eligible to receive a discretionary bonus.

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