Senior Regulatory Reporting Analyst

2 weeks ago


Dallas, Texas, United States Apex Fintech Solutions Full time
About This Role

The Senior Regulatory Reporting Analyst on the Apex Finance team is responsible for handling regulatory reporting functions for the firm. This role interacts with several APEX teams, including Billing, Accounting, Treasury, Client Service, Operations, Compliance, and Technology. The analyst must be a critical thinker, analytical, energetic, and possess strong attention to detail.

Key Responsibilities
  • Manage the calculation of the 15c3-3 weekly reserve computation, including completing schedules, researching issues that arise, and leading the reserve review meeting.
  • Prepare the 15c3-1 monthly FOCUS report, calculating capital charges, including haircuts, margin calls, and fails to deliver/receive, to arrive at net capital.
  • Assist with the monthly accounting close, particularly as it relates to FOCUS related items, including customer balances, stock borrow/stock loan, and fails to deliver/receive.
  • Calculate daily segregation requirements of the futures business according to Title 17 of the CFTC.
  • Take an active role in our annual financial statement audit and our regulatory examinations from FINRA, SEC, and NFA.
  • Prepare quarterly filings such as Supplemental Statement of Income and FORM Custody.
  • Prepare the firm's SIPC assessment calculations.
  • Drive process improvement, continually searching for more efficient and innovative methods of performing responsibilities through automation while maintaining a high level of standards in reporting to regulators.
  • Maintain a high level of knowledge of the customer protection rule and net capital rule and be able to apply these rules effectively.
Requirements
  • Bachelor's degree in accounting, finance, or a related field or equivalent experience.
  • 4+ years of experience in broker-dealer regulatory reporting or broker-dealer operations.
  • General ledger experience.
Preferred Qualifications
  • Familiarity with futures industry regulatory reporting.
  • Experience using NetSuite accounting system.
  • Intermediate to Advanced Excel abilities.
  • FINRA Series 27, 7, or 99 License (s) is a plus.
Work Environment
  • This role operates in an office environment.

We offer a robust package of employee perks and benefits, including healthcare benefits, competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

We're looking for all kinds of people. At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs.



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