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Broker-Dealer Regulatory Reporting Lead
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
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
Aquent seeks a Senior Regulatory Reporting Analyst – Broker-Dealer to safeguard regulatory compliance for broker-dealer and futures entities from its Lone Tree, CO base. You will serve in the Corporate Controller Unit, handling filings to FINRA, the SEC, the NFA, and the Federal Reserve.
Your focus includes SEA Rules 15c3-1/3, FOCUS filings, and NFA segregation, with responsibilities for reserves, capital, audits, and regulatory examinations.
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