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Regulatory Compliance Analyst

2 months ago

Whippany, New Jersey, United States Iris Software Inc. Full time

Position: Regulatory Compliance Analyst

Location: Remote/Hybrid

The core responsibility of the Financial Control division is to guarantee that Iris Software Inc. delivers precise and timely financial and regulatory disclosures for all its subsidiaries and branches, adhering to the statutory and regulatory obligations set forth by governing bodies and external auditors.

About Financial Control – US Broker Dealer Regulatory Compliance

The US Broker Dealer Regulatory Compliance team operates under the Financial Control function within the Americas Finance sector, supporting all business units within Iris Software Inc. This team ensures that the US Broker Dealer entity complies with various financial responsibility regulations established by SEC/FINRA/CFTC/CME, including customer protection, capital requirements, and necessary regulatory submissions. Additionally, the team interprets broker dealer regulations and provides guidance on transactions and product developments that may impact customer protection, net capital, and regulatory filings.

Overall Purpose of Role

The primary objective of this role is to contribute to the essential function of calculating Net Capital in accordance with SEC Rule 15c3-1 and preparing various regulatory submissions. This process is mandated by the Securities and Exchange Commission and the designated examining authority, FINRA. This position acts as the first line of defense in managing the information required by regulators concerning net capital requirements and addressing examination inquiries from key stakeholders.

This role encompasses extensive oversight of US Broker-Dealer financial reporting and provides exposure to a diverse range of the entity's products and business operations. It involves collaboration with various departments, including Operations, Finance, Risk, Treasury, Compliance, and Legal.

Key Responsibilities

  • Assist in the preparation and oversight of various regulatory reporting obligations for the broker-dealer, including SEC Rule 15c3-1, 15c3-3, and the necessary filing submissions.
  • Implement controls and procedures to ensure accuracy, completeness, and compliance with regulatory standards, while continuously monitoring and enhancing processes to mitigate risks and improve efficiency within the regulatory reporting framework.
  • Support regulatory examinations and external audits, respond to ad hoc stakeholder requests, and assist with audit due diligence sessions.
  • Drive process improvements to enhance the efficiency and accuracy of regulatory reporting.

Stakeholder Management and Leadership

Given the broad scope of this role, the candidate is expected to demonstrate leadership qualities and possess strong interpersonal skills to maintain relationships at all organizational levels. The candidate will interact with senior management across various functional areas within Iris Software Inc. as well as with external stakeholders, including regulators and auditors. This position will have the opportunity to present key management information metrics and articulate content and issues that may require management's attention.

Decision-Making and Problem Solving

  • This position may involve a wide range of issues related to the broker dealer entity and will be regarded as a subject matter expert encompassing various skills, including regulatory, accounting, operational, and risk management.
  • Risk and Control Objective
  • Take ownership of managing risk and enhancing controls in relation to the work performed.

Essential Skills/Basic Qualifications:

  • Experience and expertise in SEC/FINRA Broker Dealer Regulatory Compliance, including the execution of the 15c3-1 Net Capital and FOCUS reporting processes.
  • Understanding of the operational records and settlement mechanics of a broker dealer.
  • Ability to independently execute tasks, challenge assumptions, and escalate issues as necessary.
  • Strong attention to detail and capability to present information to key stakeholders, including senior management and regulators.

Desirable Skills/Preferred Qualifications:

  • Experience in other areas of regulatory compliance, including 15c3-3 Customer Reserve, CFTC segregation requirements, and the Possession or Control Requirements of SEC Rule 15c3-3.
  • Detail-oriented with strong analytical skills – ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance.
  • Ability to foster relationships across teams – Operations, Product Control, Regulatory Compliance, and others.

Best Regards,