Regulatory Reporting Controller II - Registered
About The Position
This job is responsible for the preparation of regulatory reporting returns for locally regulated legal entities including broker dealers and swap dealers. Key responsibilities include performing and documenting control processes and variance analysis, preparing data submissions for regulatory reporting teams, and supporting change initiatives. Job expectations include preparing and analyzing financial reports, performing risk analysis, working with a team, and communicating effectively. The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC Rule 15c3-3) for locally regulated entities including broker dealers, swap dealers and other legal entities. Responsible for performing and documenting control processes, and the preparation of data submissions for regulatory reporting teams. Prepares legal entity, balance sheet, liquidity, capital and FX reports filed with regulators and variance analysis. Prepare regulatory calculations, performs and documents control processes for local Banks, Broker Dealers and other legal entities, prepares/reviews data submissions for regulatory reporting teams.
Requirements
- Minimum 2 years of relevant professional experience in accounting/finance in the financial industry
- Strong financial analytics skills with attention to detail
- Advanced skills within the Microsoft suite specifically related to Excel, Word, and PowerPoint
- Candidate must be able to work both independently and as team member
- Self-Starter with strong communication and presentation skills
Nice To Haves
- Bachelors' degree in Accounting/Finance
- Previous experience in Broker Dealer or Regulatory Reporting
- FINRA Series 99 or 27
- CPA or equivalent a plus
Responsibilities
- Prepares complete and accurate regulatory reporting calculations in a timely manner
- Prepares reconciliations and variance analysis for daily/monthly computations
- Prepares and reviews trend and analytical reporting related to Broker Dealer computations
- Works with internal controls functions and External Auditors
- Assists with local regulators and other regulatory examination inquires
- Supports regulatory change projects in testing and documentation
- Supports Operational Excellence (OpEx) initiatives to streamline processes improvements
Benefits
- access to paid time off
- resources and support to our employees
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
