Senior Financial Analyst, Regulatory Reporting

Fidelity Investments • Westlake, TX

7d

About The Position

The Senior Financial Analyst coordinates the group’s Daily Reserve Computation under SEA Rule 15c3-3 and Monthly Net Capital Reporting under SEA Rule 15c3-1. The role steers key daily responsibilities, including monitoring critical balance movements, performing reconciliations, and ensuring data completeness and accuracy across regulatory reporting workflows. The analyst works with internal teams to research and resolve exceptions, maintain process documentation, and contribute to enhancements that strengthen reporting controls and efficiency.

Fidelity’s Regulatory Reporting team is responsible for SEC and FINRA reporting obligations for the firm’s regulated broker-dealers, including National Financial Services, LLC. The team performs daily customer-protection reserve computations, monitors net capital requirements, and reconciles the firm’s cash banking activities. In partnership with Controllers, Compliance, Operations, and other functional groups, it serves as a key control function for the firm’s financial reporting obligations.

FINRA Series 99 registration is preferred. Individuals who are not already licensed must successfully obtain the Series 99 license within six months of their start date. Fidelity will not provide immigration sponsorship for this position. Fidelity is transitioning to a full-time onsite working model through a phased rollout; onsite expectations vary by role and location and may evolve. The transition does not apply to fully remote roles.

Requirements

• Bachelor’s degree in finance, accounting, or a related field.
• Strategic thinking and ability to take an end-to-end view of issues and develop multiple solutions.
• Advanced proficiency with Microsoft Office applications, including Excel, PowerPoint, Word, and Access, and reporting tools such as Business Objects.
• Demonstrated ability to develop financial models and support complex reporting and analytical processes.
• Excellent written and verbal communication skills, including communicating effectively with business partners at varying organizational levels.
• Ability to work in a fast-paced, deadline-driven organization and drive projects to completion.
• Flexible, self-motivated approach, with energy, enthusiasm, and intellectual curiosity.
• Excellent problem-solving skills, including prioritizing work, breaking down issues, taking an end-to-end view, and proposing alternative solutions.
• Ability to manage and prioritize multiple detailed processes in a time-sensitive environment.
• Individuals not already holding FINRA Series 99 registration must obtain the license within six months of their start date.

Nice To Haves

• FINRA Series 99 registration.

Responsibilities

• Coordinate the group’s Daily Reserve Computation under SEA Rule 15c3-3.
• Coordinate Monthly Net Capital Reporting under SEA Rule 15c3-1.
• Monitor critical balance movements, perform reconciliations, and ensure completeness and accuracy of regulatory reporting data.
• Research and resolve exceptions in collaboration with internal teams.
• Maintain process documentation.
• Contribute to enhancements that strengthen reporting controls and efficiency.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior