Regulatory Reporting Controller II - Registered
Core
Preparation of regulatory reporting returns and calculations for locally regulated legal entities including broker dealers and swap dealers.
Role type
Senior IC regulatory reporting controller
Builds
SEC Rule 15c3-3 regulatory filings and variance analysis reports
Domain
Financial services / Broker Dealer / Swap Dealer
Required skills
Regulatory reporting, Financial accounting, Variance analysis, Risk analysis, Controls management, Financial analytics, Microsoft Excel, Project management
Preferred skills
FINRA Series 99 or 27, CPA, Broker Dealer experience
Technologies
Microsoft Excel, Microsoft Word, Microsoft PowerPoint
Responsibilities
Prepares complete and accurate regulatory reporting calculations; Prepares reconciliations and variance analysis for daily/monthly computations; Prepares and reviews trend and analytical reporting related to Broker Dealer computations; Works with internal controls functions and External Auditors; Assists with local regulators and other regulatory examination inquires; Supports regulatory change projects in testing and documentation; Supports Operational Excellence initiatives to streamline process improvements
Seniority
Mid-level, hands-on IC
