Securities Regulatory Reporting Associate
Core
Prepare daily, weekly, monthly, and quarterly securities regulatory reports (including 15c3-1 net capital computations) for US and foreign entities, focusing on futures and underwriting deals.
Role type
Associate securities regulatory reporting specialist
Builds
Regulatory compliance reports and capital charge calculations
Domain
Financial services / Capital markets / Regulatory compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Accounting, Finance, Regulatory reporting, Variance analysis, Data coordination, Procedure documentation, Research & implementation of regulatory changes
Preferred skills
Series 27 license, Microsoft Excel proficiency, Bachelor's degree in Accounting or Finance
Technologies
Microsoft Excel
Responsibilities
Compute moment-to-moment capital charges on underwriting deals, Perform variance analysis of trial balances, Coordinate with multiple groups to confirm financial data, Maintain procedure documentation for new regulatory requirements, Participate in research and implementation of revised regulatory reporting requirements
Seniority
Entry-level to Mid-level Associate
