Ref No.: 17-00124
Location: New York, New York
Will be responsible for:
  • Preparation of Regulatory Reports including;
    • FINRA FOCUS ( Monthly)
    • SEC 17-H (Quarterly)
    • SIPC (Annually)
  • Preparation of NSA year-end audited US GAAP financial Statements, including footnotes disclosures.
  • Development, implementation and maintenance of internal controls procedures.
  • Handling all regulatory inquiries and periodic examinations.
  • Prepare and present to Senior Management Regulatory Reports results including variance explanations.
  • Process improvement and efficiency projects, including automation of preparation of Regulatory Reports
  • Developing strong working relationship with Broker Dealer Management, Compliance, Front Office and Operations to review current and stablish new regulatory controls.
  • Overseeing and confirming preparation of 15c3 reports such as;
    • Daily 15c3-1 net capital calculations
    • Weekly 15c3-3 customer reserve calculations
    • Weekly FINRA leverage ratio reporting

Skills and Experience:
  • Bachelor's degree (Major Accounting/Finance)
  • Professional accounting qualification, preferably CPA
  • Series 27 license
  • 7-10 years' experience
  • Experience in financial services with financial accounting and statutory reporting in a service industry environment (preferred)
  • Experience with regulatory reporting for US regulated entities
  • Strong MS Office / PC Skills
  • Excellent verbal and written communication / presentation skills.
  • Proficient knowledge of 15c3 regulatory rule, as well as thorough knowledge of U.S. GAAP