Senior Regulatory Reporting Accountant

The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business. This role requires a deep understanding of SEC, Client, NFA, CFTC, and exchange regulations to maintain compliance and support key financial reporting functions.

Key Responsibilities :

• Customer and PAB Reserve Calculations (15c3-3) :
• Perform daily and weekly customer and PAB reserve calculations.
• Monitor and validate source system reports to ensure data accuracy and integrity.
• Regulatory Capital Calculations & Reporting (15c3-1) :
• Prepare daily, monthly, and quarterly regulatory capital reports, including FOCUS, SLS, and OBS filings.
• Process daily files from sub-ledger systems (Client) and investigate variances.
• Ensure compliance with regulatory requirements from SEC, Client, NFA, CFTC, and other exchanges.

Qualifications & Experience :

Seniority level

Mid-Senior level

Employment type

Full-time

Job function

Accounting / Auditing

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