CONTRACTOR - Broker Dealer Level 2 Financial Controls Specialist - Jersey City, Hybrid

2 weeks ago


Jersey City, United States M-Logic, Inc. Full time

6-month contract opportunity at a foreign investment bank at their Jersey City office location. Hybrid 3/2 work schedule.


Responsibilities:

  • 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.

Profile:

  • Good knowledge of SEC and Finra regulatory reporting requirement (e.g., 15c3-1, 15c3-3, 17a-13, 17a-5, Finra 2231, customer statements, Finra 4210, etc.)
  • Product knowledge in Broker Dealers --- derivatives, loans, funding vehicles, currencies, fixed income, equity securities and commodities
  • Minimum 5 years of experience in regulatory examination, regulatory reporting, financial control or related field under Banking & Financial Industry


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