Sr. Accountant Chicago, Illinois | Robert Half

Broker-Dealer Regulatory Reporter

The Broker-Dealer Regulatory Reporter is responsible for compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations.

Primary responsibilities will include:

• Data Collection and Analysis:
  Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements.
• Report Generation:
  Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines.
• Compliance Monitoring:
  Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary.
• Regulatory Updates:
  Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly.
• Data Validation:
  Perform quality checks on data accuracy to ensure the integrity of regulatory reports.
• Collaboration:
  
  Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns.
• Audit Support:
  Assist internal and external auditors with regulatory reporting related inquiries.