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Broker Dealer Reporting Control Specialist

3 months ago


Jersey City, United States Madison-Davis, LLC Full time

Rate: $60/hour


  • Perform all aspects of regulatory reporting level 2 control reviews:(identification of financial risk areas, walkthroughs, testing execution, communication and follow-up of improvement areas) on 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statement, Finra 4210 etc.
  • Propose improvements to the operational and financial control framework on broker dealer regulatory reporting processes
  • Monitor on the applicable perimeter, the evolution of the risks, the normative and regulatory changes and the projects