What are the responsibilities and job description for the VP, Regulatory Reporting - Broker Dealer position at Howard-Sloan Search?
A Global Broker Dealer is looking for a VP, Regulatory Reporting to join their team in Stamford, CT – 2 days on site
Responsibilities
- Complete/review reports for daily SEC 15c3-1 capital computations, FRB 2004 reports, TIC reporting, daily CFTC SEG calculations, weekly/monthly SEC 15c3-3 reserve formula computations & the preparation & filing of monthly FOCUS report
- Prepare computations/reports/filings accurately
- Assist in researching and providing explanations on report variances
- Implement new systems and solutions to improve the regulatory process
- Keep abreast of the applicable rules and regulations
- Create timely, high quality capital reporting numbers with appropriate controls and reconciliations to ensure accuracy & completeness
- Track policies and procedures for the regulatory reporting group
Qualifications/Skills
- Bachelors degree
- Must have minimum of 5 years of broker dealer financial regulation or accounting firm experience auditing a US regulated broker dealer
- Must have experience working with SEC rule 15c3-1 and 15c3-3
- Strong Accounting background
- Series 27 or CPA a plus
Salary : $150,000 - $160,000