Regulatory Reporting Associate
Listed on 2026-07-01
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Accounting
Financial Reporting, Financial Analyst -
Business
Financial Analyst
The Operations Control Quality Assurance Team is part of the Operations Control Group responsible for FED 2004 Primary Dealer Reporting and Operations related FOCUS Reporting.
Overview:This position will be part of our Operations Control Quality Assurance (QA) Team reporting into the Operations Control Group. The team is responsible for FED 2004 Primary Dealer Reporting, Operations Balance Sheet Account Attestation Reporting, Operations MIS Analysis, Operations related FOCUS Reporting (15c3-1 & 15c3-3). Team members will be exposed to a variety of responsibilities. Flexibility and the ability to multi-task are essential.
This is an excellent opportunity for an individual who is looking for hands‑on experience within a professional, corporate culture. This position will report to the QA Manager and will primarily support the U.S. Operations business.
- Support the FED 2004 Primary Dealer Reporting process including the Daily, Weekly and Monthly FR2004 Primary Government Securities Dealers Reports.
- Work with the various Middle Office and Shared Services Operations teams to provide commentary and analysis on the U.S Operations Weekly MIS decks.
- Coordinate with Finance to analyze the monthly 15c3-1 FOCUS filing and weekly 15c3-3 Customer Reserve Computation to ensure all Operations data is accurate and all balances are explained appropriately.
- Prepare the monthly Operations Balance Sheet Account Attestation Reports and analyze the results to ensure all accounts are assigned appropriately, attested to accurately and timely with appropriate supporting documentation.
- BA in Accounting or Finance or related field
- 4+ years of related experience, preferably in the finance or accounting industry
- Proficient in Microsoft Office including MS Word, Excel and Power Point
- Experience in FED or other types of regulatory reporting a plus
- Strong communication skills, both written and verbal.
- Strong problem‑solving and analytical skills.
- Team player, able to work well with all levels of the firm, as well as with outside professionals
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