Regulatory Reporting Manager, VP

RBS • Stamford, CT

92d • $140,000 - $170,000

About The Position

This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business. Be a member of a team of regulatory reporting professionals responsible for producing daily, weekly, and month end reporting for SEC, CFTC, and other regulatory agencies.

Requirements

• BA/BA in numerate, finance or business discipline
• Minimum of 6+ years of broker dealer financial regulation or accounting firm experience auditing a US regulated broker dealer
• Experience working with SEC rule 15c3-1 and 15c3-3
• Strong Accounting background
• Exceptional communication skills, written and verbal
• Ability to problem-solve creatively and constructively
• Ability to partner with business stakeholders internally and externally
• Timely and accurate regulatory filings
• Disciplined work ethic with a high standard of excellence for the team and themselves
• Demonstrates a high level of awareness of own strengths and limitations and actively works to improve their own performance
• Maintains personal drive and resilience to achieve excellence for customers, people, and business

Nice To Haves

• Series 27 or CPA

Responsibilities

• Complete or review reports for daily SEC 15c3-1 capital computations, FRB 2004 reports, TIC reporting, daily CFTC SEG calculations, weekly/monthly SEC 15c3-3 reserve formula computations and the preparation and filing of the monthly FOCUS report
• Accurately prepare computations/reports/filings
• Aid in researching and providing explanations on report variances
• Implement new systems and solutions to improve the regulatory process
• Maintain a continued understanding of the applicable rules and regulations
• Produce timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy and completeness
• Document policies and procedures for the regulatory reporting group

Benefits

• Base annual salary range of $140,000 - $170,000
• Eligibility for an annual discretionary bonus
• Medical, dental, and vision plans
• Life and disability insurance
• Employee wellness programs
• Retirement and savings plans with potential employer contributions
• Generous paid time off policy
• Parental leave
• Tuition reimbursement

What This Job Offers

• Job Type: Full-time
• Education Level: Bachelor's degree