Senior Analyst, Broker Dealer Regulatory Reporting

Under general supervision, uses knowledge and skills obtained through education, training, and experience to support broker/dealer regulatory reporting activities. The primary responsibility of this role is to prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including gathering source data, analyzing calculation inputs, documenting results, and escalating questions or exceptions as appropriate. The role may also assist with journal entries, financial analysis, FOCUS report preparation under SEC Rule 15c3-1, and other various SEC and FINRA regulatory filings.

Responsibilities

Prepare and support the customer reserve calculation in accordance with SEC Rule 15c3-3, including compiling inputs, performing reconciliations, analyzing results, and documenting support; Prepare monthly and quarterly senior management reporting on drivers and variances of the reserve formula; Assist with the review of calculation inputs, variances, exception items, and supporting schedules to help ensure accurate and timely regulatory reporting; Assist with regulatory report filings, journal entries, and month-end regulatory reporting post-closing activities; Assist in the development of procedures and flowcharts covering the preparation of the reserve calculation; Support process improvements, technology initiatives, and control enhancements related to customer reserve and other regulatory reporting processes; Work with IT, Operations, Finance, and other departments to research and resolve data, system, and process questions impacting regulatory reporting; Assist with external audits, internal audits, and regulatory examinations by preparing support and responding to information requests; Perform other duties and responsibilities as assigned.

Requirements

Bachelor's: Accounting; Bachelor's: Business Administration; Bachelor's: Finance; General Experience - 3 to 6 years; Travel: Less than 25%; Knowledge of accounting concepts, practices and procedures, including reconciliations and financial analysis; Knowledge of financial products; Knowledge of broker/dealer regulatory rules, with emphasis on SEC Rule 15c3-3 customer reserve requirements and general exposure to SEC Rule 15c3-1; Knowledge of internal controls and documentation standards as they relate to regulatory reporting processes; Knowledge of Broker/Dealer Operations; Knowledge of SIS, IMPACT, PeopleSoft, Axiom/Adenza, and other systems used in regulatory reporting processes; Knowledge of MS Excel - (vlookups, pivot tables, macros, etc.); Skill in managing multiple recurring tasks, deadlines, and priorities; Skill in analyzing financial information; Skill in supporting technology-related projects and process enhancements; Skill in operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases; Skill in researching broker/dealer regulatory reporting questions with guidance from more experienced team members; Ability to participate in meetings and contribute relevant information to support team outcomes; Ability to follow established procedures and identify questions, exceptions, or improvement opportunities for escalation; Ability to work independently on routine assignments and exercise sound judgment when escalating non-routine matters; Ability to use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives; Ability to communicate status, questions, and potential issues clearly to team members and management; Ability to explain or clarify financial and regulatory reporting information to internal stakeholders; Ability to learn new processes, systems, and regulatory concepts and apply feedback to improve work product; Ability to organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment; Ability to provide a high level of customer service.

Benefits

additional compensation (cash or equity); discretionary bonuses; commissions; medical; dental; vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); parental leave