Regulatory Reporting Analyst – Broker-Dealer [AQ-14662]

About the role

Join a prominent financial services firm and play a pivotal role in upholding the integrity and stability of the financial markets. This industry leader is dedicated to empowering individuals and institutions through innovative financial solutions, maintaining the highest standards of regulatory compliance and operational excellence. As part of a dynamic team, you will be responsible for the meticulous preparation, filing, and review of critical financial and operational regulatory reports, ensuring adherence to complex regulatory requirements and safeguarding customer assets.

Responsibilities

• Prepare and/or review weekly Customer Reserve computations in compliance with relevant regulatory requirements.
• Prepare and/or review Net Capital computations in compliance with relevant regulatory requirements.
• Conduct thorough review and analysis of the combined uniform single report for financial and operational data.
• Assess the impact of new client initiatives on existing regulatory filings and procedures, providing strategic insights.
• Review proposed regulations and articulate potential impacts to finance and business leadership, guiding proactive adjustments.
• Prepare the daily Segregation requirements for the futures and foreign exchange entity to the relevant regulatory body.
• Provide essential support during on-site or remote examinations from the entity’s regulators.
• Review reporting and operational processes to identify opportunities for increased efficiency, effectiveness, and compliance with industry standards and internal controls.

Qualifications

• An undergraduate degree in Accounting or Finance.
• 3-5 years of experience in accounting or reporting-related functions, preferably within a regulated financial environment.
• A strong team player mentality with a proven ability to foster partnerships with various stakeholders across the organization.
• Excellent attention to detail and a commitment to maintaining a high degree of accuracy in all tasks.
• Strong analytical and organizational skills, enabling effective management of complex data and processes.
• The ability to work independently in a fast-paced environment, consistently meeting tight deadlines.
• A reliance on experience and sound judgment to plan and accomplish goals effectively.

Benefits

As an Aquent talent, you will get access to amazing benefits including:

• Subsidized health, vision, and dental plans.
• Paid sick leave.
• Retirement plans with a company match.
• Free online training through Aquent Gymnasium.