Senior Regulatory Reporting Controller

$140,000 - $180,000 yearly
  • The Resume Review - Recruiting Department
  • Charlotte, NC, USA
  • Nov 25, 2021
Full time Legal

Job Description

Job description
Enterprise Role Overview:
Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams. Interpret and advise on new rules and regulations impacting locally regulated entities.
  • Senior Regulatory Controller 15c3-3 role – Vice President / Assistant Vice President (Based on Experience)
  • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation.
  • Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation
  • Help provide guidance and training for team members
Required Skills:
  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)
  • 8-10 years of relevant professional regulatory experience in accounting/finance
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong communication and presentation skills
  • Ability to work well both independently and as part of a team
  • Strong attention to details          
  • Advanced experience/skills with Excel and complex spreadsheets
Desired Skills:
  • Previous experience in the financial services industry
  • Strong technical, communication and analytical skills
  • FINRA Series 99 or 27
  • CPA or equivalent a plus