Regulatory Reporting Specialist

2 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.

OUR CULTURE:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate.

D&I:
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

HYBRID WORK ENVIRONMENT:
For most positions, Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable Business lines will determine and communicate the work arrangements that best meet their business needs.

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