Opportunity Description
A diversified financial services firm is seeking an experienced professional to join its Regulatory Reporting function within Finance. This role is responsible for ensuring compliance with U.S. broker-dealer financial responsibility rules and regulatory filing requirements. The position reports directly to senior leadership within the Regulatory Reporting team.
Key Responsibilities
-
Prepare and review calculations related to customer and PAB reserve requirements on both a weekly and monthly basis.
-
Perform and validate daily and monthly net capital computations in accordance with applicable SEC regulations.
-
Coordinate the preparation and submission of periodic FOCUS reports.
-
Prepare and review required supplemental regulatory schedules, including liquidity, inventory, off-balance sheet exposure, income statement, custody-related ...
Ready to Apply?
Submit your application for Associate, Regulatory Reporting at Phaxis LLC
Apply for this Position