Regulatory Reporting Analyst

Job Summary

Apex Finance is seeking a detail-oriented and analytical Regulatory Reporting Analyst to join our dynamic team. This role is crucial for maintaining the firm's regulatory compliance by managing complex reporting tasks, analyzing financial data, and ensuring accuracy in all regulatory filings.

• Ensure compliance with securities laws and regulations, including Rule 15c3-3 regarding customer protection.
• Lead the preparation of the firm's FOCUS report in compliance with Rule 15c3-1, including the regulatory balance sheet and related schedules.
• Manage daily and monthly regulatory reporting for the futures business, focusing on compliance and process improvement.
• Calculate and reconcile the weekly 15c3-3 reserve computation.
• Prepare monthly capital charges, including analysis of haircuts, margin calls, and fails to deliver/receive.
• Assist with the monthly accounting close for regulatory reporting needs and maintain reconciliations of balance sheet accounts.
• Continuously identify and implement more efficient methods for regulatory reporting tasks while maintaining accuracy and compliance.

Bachelor’s degree in Accounting, Finance, or a related field. Minimum 2 years of general accounting experience, with a preference for candidates who have experience in broker‑dealer accounting and operations.

• Familiarity with SEC Rule 15c3-1, Rule 15c3-3, and other relevant financial regulatory frameworks.
• Prior experience with futures industry regulatory reporting.
• Series
  27,7, or99 certifications are beneficial.
• Proficiency in Net Suite and advanced Excel capabilities.

• Exceptional analytical and problem‑solving skills for complex data and reporting tasks.
• High level of accuracy and attention to detail.
• Ability to work independently and as part of a team in a fast‑paced environment.
• Strong written and verbal communication skills; capability to present complex information clearly.
• Adaptability to manage multiple projects, tight deadlines, and changing priorities.

Our benefits package includes healthcare (medical, dental, vision, EAP), competitive paid time off, 401(k) match, parental leave, and HSA contribution match. Additional perks include a paid subscription to the Calm app and generous external learning and tuition reimbursement.

Salary Range: $57,456–$71,820 (annual base). Compensation may vary by job‑related knowledge, skills, experience, and office location.

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We provide reasonable accommodations to qualified individuals with disabilities. If you require accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form.