U.S. Broker Dealer Senior Regulatory Reporting Controller

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

Job Description

Job description
Senior Regulatory Controller 15c3-1 role – Vice President
  • Preparation, review and signing off on Daily and monthly 15c3-1 Capital computation.
  • Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.
  • Interacting and providing support to FINRA, SEC, Internal, and public auditors
  • Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
  • Help provide guidance and training for team members
Required Skills:
  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)
  • 10+ years of professional experience supporting broker dealer regulatory reporting (15c3-1 and 15c3-3)
  • 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
  • Series 27 license or Ops 99 license
  • CPA or equivalent a plus