• US Citizen

• Green Card

• EAD (OPT/CPT/GC/H4)

• H1B Work Permit

• Corp-Corp

• W2-Permanent

• W2-Contract

• Contract to Hire

• Consulting/Contract

• UG :- - Not Required

• PG :- - Not Required

• No of position :- ( 1 )

• Post :- 16th Aug 2024

•         Contribute to the preparation and oversee aspects of various regulatory reporting requirements for the broker-dealer including SEC Rule 15c3-1, 15c3-3, and the required filing submissions.

•         Execute various controls and procedures to ensure accuracy, completeness, and compliance with regulatory standards, while continuously monitoring and refining processes to mitigate risks and improve efficiency within the regulatory reporting framework.

•         Support regulatory examinations & external audits, deliver ad hoc requests, & assist with audit due diligence

•         Implementing process improvements to enhance the efficiency and accuracy of regulatory reporting

•         Stakeholder Management and Leadership

•         Given the scope of coverage for this role, the candidate is expected to demonstrate an ability to lead and inspire individuals, possess strong interpersonal skills with the ability to maintain relationships at all levels. The candidate will also have interactions with senior management across the functional areas in B- as well as external stakeholders (i.e. regulators and auditors). The position will have an opportunity to deliver key management information metrics and be able to articulate content and issues which may require management attention. Decision-making and Problem Solving

•         The position has the potential to be involve in a wide array of issues pertaining to the broker dealer entity and will be viewed as a subject matter expert encompassing a wide array of skills which includes regulatory, accounting, operational and risk management. Risk and Control Objective

•         Take ownership for managing risk and strengthening controls in relation to the work you do. Person Specification

•         Personal attributes essential to performing a role including competencies, expertise, knowledge, and experience.

•         Essential Skills/Basic Qualifications:

•         Experience and expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing the 15c3-1 Net Capital and FOCUS reporting process

•         Understanding of the Operational records and settlement mechanics of a broker dealer

•         Ability to independently execute tasks, challenge, and escalate issues where needed

•         Strong attention to detail and ability to present to key stakeholders including senior management and regulators

•         Desirable skills/Preferred Qualifications:

•         Experience in other areas of regulatory reporting including 15c3-3 Customer Reserve, CFTC segregation requirements, and the Possession or Control Requirements of SEC Rule 15c3-3

•         Detail oriented and strong analytical aptitude - ability to work efficiently with advanced spreadsheets and solve problems with minimal guidance.

•         Ability to build relationships across teams – Operations, Product Control, Regulatory Reporting, Compliance, etc.

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