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Regulatory Reporting

3 months ago

Whippany, United States Emergent365 Full time

Consultant – Broker Dealer Regulatory

Financial Firm

Whippany NJ – hybrid onsite 2 days/wk

Level: 5+ years (AVP Equivalent)

6-8months


Job Summary:

Financial firm in Whippany NJ is seeking a consultant to join their Regulatory team to support US Broker dealer business. Will contribute to the critical function of computing Net Capital in accordance with SEC Rule 15c3-1 and preparing various regulatory filings. Requires knowledge of SEC/FINRA regulatory rules. Will be onsite 2 days/week in Whippany NJ office.


Must have:

· 5+ years Regulatory Reporting experience

· 1+ Year Net Capital calculations per SEC Rule 15c3-1 & FOCUS reporting

· 1+ Year SEC / FINRA Reporting

o Knowledge of 15c3-3 Customer Reserve, CFTC segregation requirements, and the Possession or Control Requirements of SEC Rule 15c3-3 is a plus.


Job Description:


About the Department:

This is the Financial Control, Broker Dealer Regulatory Reporting team for the US Broker Dealer business. Regulatory Reporting is part of the Financial Control function of the bank. The team is responsible for ensuring the US Broker Dealer entity satisfy the various financial responsibility rules set out by SEC/FINRA/CFTC/CME, e.g. customer protection, capital requirements and regulatory filings. In addition, this team is also responsible for interpreting certain broker dealer rules and

regulations, and providing guidance and advice to businesses on transactions/product

developments which may have customer protection, net capital and regulatory filing implications.


Responsibilities:

The primary purpose of this position is to contribute to the critical function of computing Net

Capital in accordance with SEC Rule 15c3-1 and preparing various regulatory filings. This

process is required by the Securities and Exchange Commission along with the designated

examining authority, FINRA. This role will serve as the first line of defense in a controlling

capacity for requisite information required by regulators for the net capital requirement as well

as delivering to key stakeholder and addressing examination requests.


This position has extensive coverage of the US Broker-Dealer financial reporting information and

will have exposure to a broad range of the entity’s products and business activities. It will have

key interfaces with various audiences amongst infrastructure areas such as Operations,

Finance, Risk, Treasury, Compliance and Legal.


Core Responsibilities:

● Contribute to the preparation and oversee aspects of various regulatory reporting

requirements for the broker-dealer including SEC Rule 15c3-1, 15c3-3, and the

required filing submissions.

● Execute various controls and procedures to ensure accuracy, completeness, and

compliance with regulatory standards, while continuously monitoring and refining

processes to mitigate risks and improve efficiency within the regulatory reporting

framework.

● Support regulatory examinations and external audits, deliver ad hoc stakeholder

requests, and assist with audit due diligence sessions.

● Implementing process improvements to enhance the efficiency and accuracy of

regulatory reporting



Requirements:

● Experience and expertise in SEC/FINRA Broker Dealer Regulatory Reporting,

including performing the 15c3-1 Net Capital and FOCUS reporting process

● Understanding of the Operational records and settlement mechanics of a broker

dealer

● Ability to independently execute tasks, challenge, and escalate issues where

needed

● Strong attention to detail and ability to present to key stakeholders including senior

management and regulators


Desired skills:

● Experience in other areas of regulatory reporting including 15c3-3 Customer

Reserve, CFTC segregation requirements, and the Possession or Control

Requirements of SEC Rule 15c3-3

● Detail oriented and strong analytical aptitude