Broker Dealer Regulatory Reporting Associate

The Regulatory Reporting Associate will play a key role in ensuring compliance with broker dealer financial regulations and accurate reporting with emphasis on 15c3-1, 153-3, and FOCUS reports.

Client Details

Financial services organization in downtown Manhattan

Description

• Prepare and review regulatory reports in compliance with financial regulations and company policies.
• Ensure accurate and timely submission of all required filings to regulatory agencies.
• Collaborate with internal teams to gather, analyze, and verify data for reporting purposes.
• Monitor changes in regulatory requirements and implement necessary updates to reporting processes.
• Support audits and examinations by providing requested documentation and explanations.
• Assist in the development and maintenance of internal controls for regulatory reporting processes.
• Identify opportunities for process improvements to enhance reporting accuracy and efficiency.
• Maintain a thorough understanding of accounting standards and financial reporting requirements.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans, and all other qualified applicants.

Profile

A successful Regulatory Reporting Associate should have:

• 5+ years of experience working in broker dealer regulatory reporting inclusive of 15c3-1, 15c3-3, and FOCUS filings.
• FINRA Series 27 license or the ability to obtain within 60 days of hire
• Bachelor's degree in Accounting
• Strong knowledge of accounting and finance principles.
• Experience with regulatory reporting within the financial services industry.
• Excellent analytical and problem-solving skills.
• Proficiency in financial reporting systems and tools.
• High attention to detail and accuracy in data analysis and reporting.
• Effective communication and collaboration skills.
• Ability to adapt to changing regulations and reporting requirements.

Job Offer

• Competitive salary ranging from $110,000 to $150,000 USD.
• Comprehensive benefits package.
• Opportunities for professional growth in the financial services industry.
• Supportive and professional work environment in New York.
• 5 days/week onsite

If you are passionate about accounting and finance and are ready to make an impact as a Regulatory Reporting Associate, we encourage you to apply today!

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.