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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: This role involves supporting the Vice President in overseeing regulatory compliance within the broker-dealer sector.

Key Responsibilities:

  • Assist in the preparation and management of various regulatory reporting obligations, ensuring adherence to SEC and FINRA guidelines.
  • Implement and monitor controls to guarantee the accuracy and completeness of financial data, continuously enhancing processes to mitigate risks.
  • Support external audits and regulatory examinations, addressing stakeholder inquiries and contributing to audit preparation.
  • Foster strong relationships with internal teams and external regulators, providing critical insights and metrics for management review.

Qualifications:

  • Proven experience in SEC/FINRA regulatory reporting, particularly in Net Capital calculations.
  • Strong analytical skills with a keen attention to detail, capable of presenting complex information to senior management.
  • Ability to work collaboratively across various departments, including Operations, Compliance, and Risk Management.

Personal Attributes: The ideal candidate will possess strong interpersonal skills, a proactive approach to problem-solving, and a commitment to maintaining high standards of compliance and control.