VP Broker Dealer Regulatory

1 month ago

Whippany, United States Randstad USA Full time

About Financial Control

The primary function of Financial Control is to ensure that B- delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches, meeting the statutory and regulatory requirements of the entity boards, regulators and external auditors

About Financial Control – US Broker Dealer Regulatory Reporting

US Broker Dealer Regulatory Reporting is part of the Financial Control function within the Americas Finance umbrella, supporting all businesses within BCI. 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 implication.


Overall purpose of role

We are seeking a highly skilled and motivated individual to join our team and oversee the critical function of computing Net Capital in accordance with SEC Rule 15c3-1 and the various regulatory reports. The ideal candidate will possess natural leadership abilities and the expertise to oversee complex regulatory reporting processes.

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.


Key Accountabilities

  • Leadership:
  • Delegate tasks effectively and assign responsibilities to team members to ensure optimal functioning and timely completion of deliverables.
  • Effective communication and collaboration within the team and other departments.
  • Regulatory Reporting:
  • Oversee and review the preparation, accuracy, and submission of 15c3-1 Net Capital computations and various regulatory filings, including the monthly FOCUS report.
  • Implement/enhance and maintain robust controls and procedures to mitigate risk.
  • Serve as a point of contact for regulatory examinations, audits, and internal stakeholder requests.
  • Process Improvements
  • Identify and implement process improvements to enhance the efficiency and accuracy of regulatory reporting.


Stakeholder Management and Leadership

Given the scope of coverage for this role, the candidate is expected to demonstrate an ability to lead and inspire individuals, possess strong interpersonal skills with the ability to maintain relationships at all levels. The candidate will also have interactions with senior management across the functional areas in B- as well as external stakeholders (i.e. regulators and auditors). The position will have an opportunity to deliver key management information metrics and be able to articulate content and issues within which may require management attention.


Decision-making and Problem Solving

The position has the potential to be involve in a wide array of issues pertaining to the broker dealer entity and will be viewed as a subject matter expert encompassing a wide array of skills which includes regulatory, accounting, operational and risk management.

Risk and Control Objective

Take ownership for managing risk and strengthening controls in relation to the work you do.

Person Specification

Personal attributes essential to performing role including competencies, expertise, knowledge, and experience.


Essential Skills/Basic Qualifications:

  • Experience and expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing and/or overseeing 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


Desirable skills/Preferred Qualifications:

  • 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 - ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance.
  • Ability to build relationships across teams – Operations, Product Control, Regulatory Reporting, Compliance, etc.

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