Senior Financial Analyst, Regulatory Reporting

Fidelity • Westlake, TX

6d

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 position steers key daily responsibilities, including monitoring critical balance movements, performing reconciliations, and ensuring completeness and accuracy across regulatory reporting workflows. The analyst works with internal teams to research and resolve exceptions, maintain process documentation, and contribute to improvements 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-asset 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.

Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Current onsite requirements vary by role and location and may evolve; the transition does not apply to fully remote roles. The posting does not specify the onsite expectation for this position. Fidelity will not provide immigration sponsorship. Hiring and association may be restricted for individuals with certain criminal histories under applicable laws and regulations.

Requirements

• Bachelor’s degree in finance, accounting, or a related field.
• Strategic thinking and the 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.
• Ability to develop financial models and support complex reporting and analytical processes.
• Excellent written and verbal communication skills, including the ability to communicate 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 licensed must obtain the FINRA Series 99 license within six months of their start date.

Nice To Haves

• FINRA Series 99 registration is preferred.

Responsibilities

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

What This Job Offers

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