Regulatory Specialist

4 weeks ago

Hanover, United States Iris Software Inc. Full time

Position: Regulatory Reporting Specialist

Location: Whippany NJ (Hybrid)


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

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 defence 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.

Key Accountabilities

  • 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

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 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.


Best Regards,

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