Regulatory Reporting Associate

 Leading middle-market investment bank and full service broker-dealer.

Responsibilities:
• Prepare and/or review components of the daily Customer Reserve and PAB Reserve computations.
• Prepare and/or review elements of the firm's daily and monthly Net Capital calculations.
• Assist in the preparation and review of the FOCUS Report and other regulatory filings.
• Prepare and/or review monthly, quarterly, and annual regulatory reports, including the Supplemental Inventory Schedule
(SIS), Supplemental Liquidity Schedule (SLS), Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
(Form OBS), Supplemental Statement of Income (SSOI) and Form Custody filings.
• Maintain documentation supporting the firm's internal control framework related to compliance with regulatory capital and
customer reserve requirements.
• Assist in ensuring regulatory reporting policies, procedures, and documentation remain current and compliant with
applicable requirements.
• Partner with internal and external auditors, regulators, and business stakeholders during audits and examinations.
• Support the evaluation of new business initiatives and transactions from a regulatory capital and customer reserve
perspective.
• Participate in special projects and other ad hoc assignments as needed.

Qualifications Required:
• Bachelor's degree in Accounting, Finance, or a related field; CPA or progress toward a professional accounting designation is
a plus.
• One to three years of accounting, financial reporting, regulatory reporting, audit, or related financial services experience.
• Experience within the securities industry or broker-dealer regulatory reporting environment is preferred, but not required.
• Familiarity with SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Protection Rule), 17a-5 FOCUS reporting, or other
broker-dealer financial responsibility rules is preferred.
• Strong understanding of accounting principles and financial statement analysis.
• Advanced Excel skills and proficiency with Microsoft Office applications; ability to learn and utilize firm-specific systems and
reporting tools.
• Strong analytical, research, problem-solving, and organizational skills with attention to detail.
• Excellent written and verbal communication skills and the ability to work effectively across functions.
• Demonstrated ability to manage multiple priorities and meet recurring regulatory deadlines in a fast-paced environment