Broker Dealer Regulatory Reporting Analyst

TALENT SHIFT LLC•New York, NY

8d•Hybrid

About The Position

We are seeking an analyst to support our broker‑dealer client with SEC Rule 15c3‑3 (Customer Protection Rule) reserve and possession/control calculations on a contract basis. This is a hybrid onsite role in midtown NYC with a duration of 3 months with possible extension.

Requirements

Bachelor’s degree or higher in accounting, finance, or other related fields
5+ years of relevant experience performing 15c3-3 calculations.
Availble to work onsite 3-4 days per week in midtown NYC.
Qualified applicants must reside in the continental U.S.
Must be legally authorized to work in the United States now and in the future. Verification of employment eligibility will be required at the time of hire. Visa sponsorship is not available for this position.

Responsibilities

Prepare daily or weekly Customer Reserve Computations under SEC Rule 15c3‑3.
Validate possession/control of customer securities in accordance with regulatory requirements.
Maintain and reconcile the Special Reserve Bank Account for the Exclusive Benefit of Customers.
Support regulatory obligations including FOCUS filings, internal/external audits, and SEC/FINRA examinations.