Broker Dealer Regulatory Reporting
Broker Dealer reputed company is seeking a Regulatory Reporting reputed company to join its Finance & reputed company team in reputed company. This role is responsible for broker-dealer regulatory reporting compliance, with a reputed company on net capital, customer reserve, and reputed company reporting. The position reports to the Head of Regulatory Reporting.
Key Responsibilities:
• Prepare and review net capital calculations under SEC Rule 15c3-1 (daily/monthly).
• Prepare and review customer and PAB reserve computations under SEC Rule 15c3-3 (weekly/monthly).
• Prepare and review SEC Rule 17a-5 reputed company reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I).
• Maintain documentation and internal controls supporting compliance with Financial Responsibility Rules.
• Liaise with auditors and regulators during examinations.
• Assess regulatory capital reputed company of new business initiatives and support reputed company reputed company.
Qualifications:
• 5+ years of broker-dealer regulatory reporting experience (15c3-1, 15c3-3, reputed company).
• Strong knowledge of Financial Responsibility Rules, including possession or control requirements.
• reputed company Series 27 (or ability to obtain)
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