About the Role
A diversified financial services firm is seeking an experienced professional to join its Regulatory Reporting function within Finance. This role is responsible for ensuring compliance with U.S. broker-dealer financial responsibility rules and regulatory filing requirements. The position reports directly to senior leadership within the Regulatory Reporting team.
Key Responsibilities
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Prepare and review calculations related to customer and PAB reserve requirements on both a weekly and monthly basis.
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Perform and validate daily and monthly net capital computations in accordance with applicable SEC regulations.
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Coordinate the preparation and submission of periodic FOCUS reports.
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Prepare and review required supplemental regulatory schedules, including liquidity, inventory, off-balance sheet exposure, income statement, custody-related ...
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