REGULATORY REPORTING FINOP - NYC - to $140,000

Intermedia Group • New York, NY

286d • $120,000 - $140,000 • Hybrid

About The Position

Our client is a Premier Regulatory Accounting Firm that delivers comprehensive accounting and regulatory reporting services to 100 plus FINRA-registered broker-dealers and financial service providers. The firm's expertise includes Full Service, Bookkeeping & Accounting, Series 27 FinOp Licensing, Submission of Regulatory Filings for Broker Dealer Members. They are looking for a Regulatory Reporting FinOp to become part of our clients' fast-growing team!

Requirements

• Active Series 27 (Financial and Operations Principal) preferred.
• Bachelor's degree in accounting, Finance, Economics, or a related field.
• 2-4 years of experience in regulatory or financial reporting, preferably within a broker-dealer or financial services organization.
• Strong understanding of Broker-Dealer Financial Responsibility Rules, including: 15c3-1 (Net Capital Rules) and 15c3-3 (Customer Protection Rule).
• In-depth knowledge of reporting requirements set by FINRA, the SEC, and other regulatory entities.
• Solid grasp of broker-dealer accounting principles.
• Familiarity with back-office reporting systems (e.g., Inteliclear, BetaNXT, Broadridge, FIS) is a plus.
• Advanced Excel skills (pivot tables, complex formulas, etc.).
• Experience handling intricate regulatory reporting calculations, including net capital haircuts, segregation excess/deficit calculations, and customer margin deficit/collateral concentration analysis.
• Excellent communication skills - Ability to simplify complex regulatory concepts for clients and colleagues.
• Strong attention to detail - High accuracy when dealing with financial data.
• Problem-solving mindset - Ability to work efficiently under pressure and meet deadlines.

Nice To Haves

• Familiarity with back-office reporting systems (e.g., Inteliclear, BetaNXT, Broadridge, FIS).

Responsibilities

• Assist in the preparation of 15c3-3 Customer and PAB Reserve Computations on a weekly and monthly basis.
• Compile, review, and submit financial reports to regulatory agencies such as FINRA, the SEC, and other relevant state or federal bodies.
• Ensure compliance with all applicable regulations, including net capital computations, customer protection rules, and broker-dealer reporting obligations.
• Work closely with clients to collect financial data required for accurate reporting.
• Stay informed of regulatory updates and ensure compliance for both the firm and its clients.
• Analyze financial statements (balance sheets, income statements, trial balances) for regulatory filing purposes.
• Prepare monthly, quarterly, and annual financial reports, including FOCUS Reports (Financial and Operational Combined Uniform Single Report).
• Provide regulatory reporting guidance to clients and offer recommendations for compliance enhancements.
• Support audits and examinations by regulatory bodies, ensuring proper documentation and clear explanations.
• Maintain detailed records of all regulatory submissions and correspondence with regulators.
• Keep up with industry trends, legal changes, and best practices in regulatory reporting.

Benefits

• Hybrid work model after 6 months, allowing remote work for two days per week.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Professional, Scientific, and Technical Services
• Education Level: Bachelor's degree