Regulatory Reporting Analyst

This firm is a self clearing broker-dealer engaged in a broad range of activities in the securities industry including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), research, market-making, securities lending activities, trust services, and investment advisory and asset management services.  We are  conveniently located in lower Manhattan (Wall Street area).

 

OBJECTIVE:

 

To find a technical and highly energetic individual with general regulatory reporting experience to assist in the preparation of the monthly FOCUS report, weekly customer reserve formula, and daily net capital calculations.

 

This position will report to the Regulatory Reporting department head. 

 

RESPONSIBILITIES:

 

Responsibilities will include, but not be limited to, the following:

 

· Preparation of weekly 15c3-3 customer reserve calculation

· Preparation of 15c3-1 net capital calculations, daily estimates as well as monthly final calculation included in the FOCUS report

· Assist in the preparation and filing of the monthly FOCUS report

· Calculation of securities haircut charges

· Preparation and filingof monthly NYSE 600TC report

· Research reporting issues (SEC, NYSE & NASD Net Capital and Customer Reserve rules)

· Interface with internal auditors as well as outside examiners

 

EXPERIENCE REQUIRED:

 

· Two or more years of regulatory reporting experience

· Experience in the securities industry required

· Excellent research skills and strong written and verbal communication skills

· Bachelor’s degree in accounting or finance

· Series 27 license desired but not required