Director of Regulatory Reporting

2 weeks ago

New York, United States Prometheum Full time

**About Us:

- **

Since its founding in 2017, Prometheum has leveraged its deep expertise in securities law, blockchain and trading to create a compliant ecosystem for digital asset securities that enables all investors to seamlessly invest in digital assets securities. Prometheum has relied on its strong diverse team to build the required tools to service digital asset securities. To date, Prometheum has built multiple digital asset security broker-dealers traversing novel areas and a large technology stack (intersecting trading, blockchain, compliance, etc.). As we continue growing, we are looking for hardworking and devoted individuals that want to contribute to our efforts as we traverse new and exciting areas.

**Role:

- **

Director of Regulatory Reporting - Full Time W2

**Location:

- **

New York City, NY

**Salary:

- **

$175,000 - $250,000

**Responsibilities:

- **
- Responsible for assisting in preparation of daily net capital requirements reports and weekly customer reserve reporting for affiliate broker dealers (15c3-1 and 15C3-3 reports) and monitoring of broker dealers’ daily net capital positions
- Prepare and submit various regulatory reports (e.g. FOCUS, quarterly, SSOI, OBS, Form Custody, etc) supported by clear, detailed, and accurate work papers.
- Track daily trading activities and results to prepare accounting trial balance reports.
- Assist with other assignments, as needed, including standard accounting activities such as managing expense allocations.
- Supports end to end accounting processes and completes research required to transform data into information for reporting purposes.
- Independently research and interpret regulatory rules, guidance, and report instructions.
- Draft, periodically update as needed, and maintain desktop procedures for all accounting and regulatory reporting processes
- Develop and enhance controls within key Finance-owned processes
- Draft controls documentation for key Finance-owned processes including GL account reconciliations and the preparation and review of all regulatory reports
- Ensure compliance with the regulatory framework by monitoring changes in industry regulations.
- Maintain accurate records and ensure the accuracy and integrity of reported data.
- Identify potential areas of risk and devise solutions to address them.
- Collaborate with other teams to ensure compliance with internal policies and procedures.
- Monitor and evaluate performance against key performance indicators.
- Develop and implement processes and procedures to build out regulatory reporting framework
- Provide guidance and advice to other departments regarding regulatory reporting requirements.
- Oversee preparation and review of year-end US GAAP financial statements for firm’s 2 broker dealers
- Present at and participate in meetings and discussions with senior internal and external stakeholders.

**Qualifications:

- **
- This position requires a detail-oriented individual with strong problem solving skills and the ability to work well in a fast-paced environment.
- A deep understanding of regulatory reporting and a commitment to the highest standards of accuracy and integrity.
- A Bachelor’s degree in finance, accounting, or a related field,
- At least 7-10 years of direct experience in regulatory reporting for a clearing broker-dealer.
- In addition, you must be well-versed in the latest industry regulations and have a strong attention to detail.
- Series 27 qualified.
- Advanced knowledge of regulatory reporting and regulatory reporting operations;
- Advanced knowledge of financial accounting including relevant US GAAP for the financial services industry;
- Experience in project management, including running meetings, tracking issue resolution progress and driving issues to closure;
- Experience in planning and performing financial audits is preferred;
- Excellent analytical and verbal/written communication skills;
**Benefits:

- **
- Competitive salary based on experience
- Excellent benefits including:

- Health, Vision & Dental Insurance
- Prometheum is an equal opportunity employer._

Pay: $175,000.00 - $250,000.00 per year

**Benefits**:

- 401(k)
- Dental insurance
- Health insurance
- Life insurance
- Paid parental leave
- Paid time off
- Parental leave
- Stock options
- Vision insurance

Experience level:

- 7 years

Schedule:

- Monday to Friday

Ability to Relocate:

- New York, NY 10005: Relocate before starting work (required)

Work Location: In person

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