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Regulatory Reporting Assistant to Vice President

2 months ago

Wilmington, North Carolina, United States TSR Consulting Services, Inc. Full time

Position Overview: The role of the Assistant to the Vice President focuses on providing essential support in the realm of regulatory compliance within the broker-dealer sector.

Key Responsibilities:

  1. Regulatory Reporting: Assist in the preparation and oversight of various regulatory reporting obligations, ensuring adherence to SEC Rule 15c3-1 and 15c3-3.
  2. Control Execution: Implement and monitor controls to guarantee accuracy and compliance with regulatory standards, continuously refining processes to enhance efficiency.
  3. Stakeholder Engagement: Collaborate with senior management and external stakeholders, including regulators and auditors, to deliver key management information and address inquiries.
  4. Audit Support: Facilitate regulatory examinations and external audits, responding to ad hoc requests and participating in audit due diligence sessions.
  5. Risk Management: Take ownership of managing risks associated with regulatory reporting and strengthening internal controls.

Qualifications:

Essential Skills:

  • Proven experience in SEC/FINRA Broker Dealer Regulatory Reporting.
  • Strong understanding of operational records and settlement processes.
  • Exceptional attention to detail with the ability to present information effectively to stakeholders.

Desirable Skills:

  • Experience in additional regulatory reporting areas, including customer reserve requirements.
  • Analytical skills with proficiency in advanced spreadsheet applications.
  • Ability to foster relationships across various teams, including Operations and Compliance.

This position offers a unique opportunity to engage with a diverse range of financial reporting activities while contributing to the regulatory integrity of the organization.