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
- 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
- Previous experience in the financial services industry
- Series 27 license or Ops 99 license
- CPA or equivalent a plus