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AVP Broker Dealer Regulatory

3 months ago

Whippany, United States Allere Full time
Job DescriptionJob DescriptionAt ALLERE GROUP, we pride ourselves in creating the perfect match for our candidates. We work tirelessly to build relationships with top companies across the nation, so we always have exciting opportunities for the right candidates. If you are excited about emerging technologies and would love to be a part of a progressive company, we want to talk to youJob Title: AVP - Broker Dealer RegulatoryLocation: Whippany, NJHow you will make an impact: 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:
  • 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
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.
ALLERE GROUP is committed to our community and diversity. We are a proud woman-owned business (WBENC certified) and active supporters of numerous philanthropic, volunteer, and fundraising endeavors. ALLERE GROUP offers direct hire, contract to hire, and statement of work placements. We offer access to employer healthcare benefits, and a 401k retirement plan. Allere Group provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.