Regulatory Reporting Analyst
Core
Preparation and filing of daily and periodic financial regulatory reports ensuring compliance with SEC and industry regulations.
Role type
Regulatory Reporting Analyst
Builds
Daily 15c3-1 net capital computations, monthly/quarterly regulatory filings, and reconciled accounting records.
Domain
Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory reporting, Accounting, Financial industry experience, Microsoft Excel (Pivot Tables, V-Lookups, Macros), Data reconciliation, Procedure documentation
Preferred skills
Regulatory reporting automation, New product/transaction evaluation
Technologies
Oracle General Ledger, Microsoft Excel
Responsibilities
Prepare daily 15c3-1 daily net capital computation for MUFG US Broker Dealer, Compute moment-to-moment capital charges on underwriting deals, Reconcile subledger trade details to Oracle general ledger, Coordinate with multiple groups to confirm financial and static data for regulatory reports, Maintain and update procedure documentation related to new regulatory requirements, Participate in research and implementation of new regulatory reporting requirements
Seniority
Junior to Mid-level, hands-on IC
