Regulatory Reporting Specialist

3 days ago

Chicago IL United States SGS Société Générale de Surveillance SA Full time

Responsibilities

SG Americas Securities, LLC (SGAS): Broker-Dealer Regulatory Reporting Group
This department is responsible for the local regulatory reporting for SGAS (SEC, FINRA, CFTC, CME, FRBNY, etc). Additionally, the team works closely with both FCM and Securities operations, front office, internal audit, external audit, and second level control.

Day to Day Responsibilities:

  • CFTC Segregated, Secured, Swaps protection formulas and SIDR – preparation, review, analysis.
  • 15c3-1 Net Capital – preparation, review, analysis
  • Automation of legacy manual processes
  • Other reports such as Leverage, Liquidity, Surveys and Ad Hoc – analysis, review
  • Actively participate in Regulatory and Financial Audits
  • Enhance control environment and documentation

Monthly Responsibilities:

  • FOCUS report – analysis, review.

Profile required

DIVISION DESCRIPTION:
The Finance Department of Global Banking and Investor Solutions (GBIS) is a global organization with a local presence. Our core mission in the Americas involves delivering sound financial reports, supporting Business Units, Service Units, and General Management with financial and strategic steering, effectively scrutinizing business plans, and offering good advice on the efficient use of our capital, liquidity, and funding resources. The Finance Department performs independent certification of all financial aggregates and creates the daily P&L explanation on market activities. In addition, our robust teams also oversee and execute cross-business projects in the financial and regulatory areas of the industry by providing expertise on accounting, prudential and tax norms while ensuring compliance.

SKILLS AND QUALIFICATIONS:

Technical Skills:

  • Ability to use data visualization platform to provide strategic data to internal clients.
  • Strong Excel computer skills and ability to work with large sets of data.

Required Registrations:

  • Series 27 or 99 (or willing to complete within one year)

Competencies:

  • Knowledge of CFTC Segregation, Secured, and Cleared Swap Customer Calculations including residual interest and external notification requirements.
  • Knowledge of SEC Rule 15c3-1 and related notification requirements
  • Adaptable; able to formulate reporting requirements for new processes.
  • Ability to solve problems and analyze independently.
  • Ability to handle multiple issues and meet reporting deadlines.
  • Ability to effectively interact with staff at all levels.

Experience Needed:

  • 3-5 years industry experience
  • Familiarity with CFTC Customer Protection formulas
  • Ability to work with large data.

Educational Requirements:

  • Accounting or Finance BA/BS degree
  • MBA or CPA, a plus
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