Senior Regulatory Reporting Specialist

Reference 25000FJE

Responsibilities
SG Americas Securities LLC (SGAS) US Broker-Dealer Regulatory Reporting team is responsible for the local regulatory reporting (SEC, FINRA, CFTC, CME) of SGAS.

• 15c3-1 Net Capital – Assist in monthly preparation, analysis, review. Present and communicate the results to management and the CFO.
• 15c3-3 Customer and PAB protection formulas – Assist in the preparation, analysis, review. Present and communicate the results to management and the CFO.
• US GAAP Financial Statement- assist in preparation and analysis of disclosures and work closely with external audit team.
• 17a-5 compliance including preparation and review of procedures and controls.
• Proactively identify control weaknesses and areas for improvement and automation in order to reduce operational risks and enhance the control environment.
• Prepare and/or review supplemental FOCUS reporting schedules such as SSOI, Form Custody, OBS, and SLS.
• Be a key contact for various regulatory exams and audit, both external and internal.
• Ad Hoc Reporting – preparation, analysis & review.

Required
Profile required
DIVISION DESCRIPTION:

The Finance Department of Global Banking and Investor Solutions (GBIS) is a global organization with a local presence. Our core mission in the Americas involves delivering sound financial reports, supporting Business Units, Service Units and General Management with financial and strategic steering, effectively scrutinize business plans, and offering good advice on the efficient use of our capital, liquidity, and funding resources. The Finance Department performs independent certification of all financial aggregates and creates the daily P&L explanation on market activities. In addition, our robust teams also oversee and execute cross-business projects in the financial and regulatory areas of the industry by providing expertise on accounting, prudential and tax norms while ensuring compliance.

SKILLS AND QUALIFICATIONS:

Experience Required:

• CPA
• Excellent knowledge of SEA rules 15c3-1 and 15c3-3, and US GAAP
• 7-10 years US Broker Dealer Regulatory and Accounting experience

Competencies:

• Knowledge of broker dealer accounting, finance, and operations
• Adaptable; able to formulate reporting requirements for new processes
• Willingness to learn and perform detail level analysis
• Excellent verbal and written communication skills
• Working knowledge of US GAAP
• Ability to solve problems and analyze data

Desired / Plus:

• Working knowledge of CFTC customer protection – Seg, Secured, CSC
• Understanding of Liquidity and Treasury Function
• Knowledge of Segment reporting
• Series 27
• Knowledge of IFRS

Educational Requirements:

• Accounting or Finance BA/BS degree

Business insight
Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations during the recruitment process, please do not hesitate to let our Recruiters know.

OUR CULTURE:
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. For more information about our Culture and Conduct initiatives, please visit this link )

D&I:
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.

Our Diversity & Inclusion Vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link )

HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols. Hybrid work arrangements vary based on business area. The applicable business lines will determine and communicate the work arrangements that best meet their business needs.

COMPENSATION:
Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.

Diversity and Inclusion
Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.