Regulatory Reporting Analyst
Job in
Denver, Denver County, Colorado, 80285, USA
Listed on 2026-08-27
Listing for:
Aquent
Full Time
position Listed on 2026-08-27
Job specializations:
-
Finance & Banking
Financial Analyst, Financial Reporting, Financial Compliance -
Accounting
Financial Analyst, Financial Reporting, Financial Compliance
Job Description & How to Apply Below
Senior Regulatory Reporting Analyst – Broker-Dealer
Pay Rate: $42.53 / hour
Location: Lone Tree, CO
About the RoleOur client is seeking a detail-oriented Senior Regulatory Reporting Analyst to maintain financial and operational compliance for our broker-dealer and futures entities. Joining our Corporate Controller Unit, you will act as a key gatekeeper managing core filings submitted to FINRA, the SEC, the NFA, and the Federal Reserve.
What You’ll Do- Customer Reserve & Capital: Prepare and review weekly Customer Reserve computations (SEA Rule 15c3-3) and Net Capital calculations (SEA Rule 15c3-1).
- Regulatory Filings: Lead monthly FOCUS report reviews and assemble Treasury International Capital (TIC) reports for the Federal Reserve.
- Futures & FX: Calculate and submit daily segregation requirements to the NFA for our futures entity.
- Advisory & Audit: Support regulatory examinations (FINRA/SEC/NFA), assess new business initiatives for regulatory impact, and ensure 17a-5/SOX control compliance.
- Education & Experience: Bachelor’s degree in Accounting or Finance with 3–5 years of hands-on financial reporting, audit, or regulatory experience in financial services.
- Regulatory Knowledge: Deep familiarity with SEA Rules 15c3-1, 15c3-3, FOCUS filings, and NFA segregation rules.
- Core Competencies: Exceptional analytical ability, high precision under tight deadlines, and strong cross-functional collaboration skills.
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