Senior Regulatory Reporting Specialist (SEC 15c3-3)

Senior Regulatory Reporting Specialist (SEC 15c3-1 and 15c3-3) 

Description:

The US Broker-Dealer Regulatory Reporting team is responsible for the local regulatory reporting (SEC, FINRA, CFTC, CME).  This role is focused on SEC 15c3-1 and 15c3-3.

Responsibilities:

This role is responsible for

-          Preparation of Weekly 15c3-3 Customer and PAB Reserve Computations

-          Preparation of 15c3-1 Net Capital Calculation

Skills and Qualifications:

Must Have:

• Series 27 License 
  


• Excellent knowledge of SEC rules 15c3-1 and 15c3-3
  


• US Broker Dealer Regulatory reporting experience
  


• Knowledge of broker dealer Accounting and Securities Operations
  

Nice to Have:

• CPA