Regulatory Reporting Analyst – Broker-Dealer

Join a prominent financial services firm through Aquent and play a pivotal role in upholding the integrity and stability of the financial markets. This industry leader is dedicated to empowering individuals and institutions through innovative financial solutions, maintaining the highest standards of regulatory compliance and operational excellence. As an Aquent talent, you will be instrumental in supporting these vital functions, directly contributing to the firm’s robust regulatory framework and its continued success. Are you ready to make a significant impact in the financial regulatory landscape? We are seeking a dedicated professional to join a dynamic team responsible for the meticulous preparation, filing, and review of critical financial and operational regulatory reports. This is an exciting opportunity to leverage your expertise to ensure the firm’s adherence to complex regulatory requirements, directly safeguarding customer assets and contributing to the stability of the financial system. You will be at the forefront of regulatory compliance, influencing key decisions and processes within a fast-paced and evolving environment.

Responsibilities

Prepare and/or review weekly Customer Reserve computations in compliance with SEA Rule 15c3-3; Prepare and/or review Net Capital computations in compliance with SEA Rule 15c3-1; Conduct thorough review and analysis of the Financial and Operational Combined Uniform Single (FOCUS) report; Assess the impact of new client initiatives on existing regulatory filings and procedures, providing strategic insights; Review proposed regulations and articulate potential impacts to finance and business leadership, guiding proactive adjustments; Prepare the daily Segregation requirements for the futures and foreign exchange entity to the NFA; Provide essential support during on-site or remote examinations from the entity’s regulators (FINRA/SEC, NFA); Review reporting and operational processes to identify opportunities for increased efficiency, effectiveness, and compliance with 17a-5 and SOX requirements

Requirements

Passionate about regulatory compliance and operational accuracy; Undergraduate degree in Accounting or Finance; 3-5 years of experience in accounting or reporting-related functions, preferably within a regulated financial environment; Strong team player mentality with a proven ability to foster partnerships with various stakeholders across the organization; Excellent attention to detail and a commitment to maintaining a high degree of accuracy in all tasks; Strong analytical and organizational skills, enabling effective management of complex data and processes; Ability to work independently in a fast-paced environment, consistently meeting tight deadlines; Reliance on experience and sound judgment to plan and accomplish goals effectively

Benefits

Subsidized health, vision, and dental plans; Paid sick leave; Retirement plans with a match; Free online training through Aquent Gymnasium