Regulatory Analyst

Regulatory Analyst:

 Our Broker Dealer finance team is in search of a Regulatory Analyst.  This role is a great way to get your foot in the door and position your career for growth.



·  Preparation of Daily Net Capital report (Rule 15c3-1).  Spot variances in reported numbers and follow up with members of business groups to identify the business reasons, escalate problems to supervisor when necessary. Based on analysis, prepare a note of the daily trends that is included with Daily Net Capital report when report is distributed to senior management;

·  Preparation of daily securities borrows and loans-related capital charge report for equity and fixed income financing;

·  Review of daily reverse repos and repos-related capital charges;

·  Review of inventory haircuts on equity and fixed income positions;

·  Prepare regulatory reports to Federal Reserve Bank of NY;  (FR2004/TIC)

·  Preparation of Customer Reserve Formula computation (Rule 15c3-3)

·  Review of capital charges relating to Agency Lending Disclosure of Principals. Daily management of the Sungard system, i.e. review of un-reconciled trading positions, review of un-priced/stale priced securities, and communication with counterparties and operations department to resolve discrepancies, etc.

·  Assist in the preparation of FOCUS reports;

·  Update procedure manuals for daily net capital computation;

·  Ad hoc projects. 

REQUIREMENTS:

·  Accounting or Finance degree;

·  1-3 years’ experience in broker-dealer regulatory reporting (Sec Rule 15c3-1 and 15c3-3);

·  Familiarity with equity and fixed income products and with financing transactions;

·  Familiality with basic accounting functions;

·  Knowledge of ADP, ICI/ADP, Loanet, DTCC, Martini helpful but not required;

·  Excellent verbal and written communication skills;

·  Ability to operate effectively in a matrix managed international organization with multiple reporting lines;

·  Personable and reliable self-starter who requires minimal management oversight for day to day work responsibilities;

·  Proficiency with computers including experience with Microsoft Word, Excel and Outlook;

·  Strong attention to detail with a pro-active approach to solving and preventing problems;

·  Ability to work under pressure/deadlines and manage multiple priorities;

·  Ability to interface effectively with all levels of management.



 

Please send your resume and salary requirements to nyjobs2@dkib.com

Dresdner Kleinwort, Americas only accepts resumes from agencies authorized by the Firm’s Lateral Recruiting Team to submit such resumes on a requirement by requirement basis.

Equal Opportunities Statement:


As a matter of policy, Dresdner Kleinwort does not discriminate on the basis of age, race, color, religion, sex, national origin, disability, marital status, ancestry, medical condition, sexual orientation, citizenship, veteran status or any other basis proscribed by federal, state or local law