Regulatory Reporting
Core
Calculate 15c-3 customer reserves for BMO Chicago Branch and assist in broader regulatory reporting.
Role type
Regulatory Reporting Analyst
Builds
Weekly/daily 15c-3 customer reserve calculations and related financial/statutory filings
Domain
Finance & Accounting (Broker/Dealer Regulatory)
Required skills
15c-3 reserve calculation, regulatory compliance, financial analysis, stakeholder management, database management, forecasting, strategic problem solving
Preferred skills
Series 27 or 99 license, industry networking, audit/regulator relations
Technologies
Customized exception reports, tracking reports, financial and operational systems
Responsibilities
Prepare weekly or daily 15c-3 customer reserve calculations, act as subject matter expert on reserve regulations, partner with client onboarding to resolve designation issues, maintain customer reserve bank and securities accounts, determine 15c-3 impact of business initiatives, drive enhancements to internal databases, integrate information from multiple sources for efficient reporting, exercise judgment to solve problems within regulatory rules
Seniority
Individual Contributor, mid-level