Regulatory Reporting Assistant to Vice President
2 weeks ago
Position Overview:
The role of the Assistant to the Vice President focuses on the critical area of Broker Dealer Regulatory Compliance. This position is integral to ensuring that the organization adheres to the necessary financial and regulatory reporting standards.
Key Responsibilities:
- Assist in the preparation and oversight of various regulatory reporting obligations for the broker-dealer, including compliance with SEC regulations.
- Implement and execute controls to guarantee the accuracy and completeness of reports, continuously enhancing processes to mitigate risks.
- Support regulatory examinations and audits, providing necessary documentation and facilitating due diligence.
- Engage with stakeholders to deliver essential management information and address any issues requiring attention.
Stakeholder Engagement:
The candidate will interact with senior management and external parties, including regulators and auditors, necessitating strong interpersonal skills and the ability to maintain professional relationships.
Decision-Making and Expertise:
This position demands a comprehensive understanding of broker-dealer operations, regulatory frameworks, and risk management practices. The individual will be viewed as a subject matter expert in these areas.
Essential Qualifications:
- Proven experience in SEC/FINRA Broker Dealer Regulatory Reporting.
- Familiarity with operational records and settlement processes.
- Strong analytical skills and attention to detail.
Preferred Qualifications:
- Experience in additional regulatory reporting areas.
- Ability to collaborate effectively across various teams.
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