Regulatory Reporting Specialist
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-05-18
Listing for:
Larson Maddox
Full Time
position Listed on 2026-05-18
Job specializations:
-
Finance & Banking
Financial Reporting, Financial Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
The role supports a broker‑dealer regulatory reporting function, with responsibility for daily customer and PAB reserve calculations (Rule 15c3‑3) and review of daily Net Capital computations (Rule 15c3‑1). The position assists in the preparation, review, and analysis of monthly FOCUS reports, including summarizing results for senior stakeholders, and works closely with front‑office, operations, and control teams on new business initiatives and expansion projects.
Responsibilities- Daily customer and PAB reserve calculations (Rule 15c3‑3) and review of daily Net Capital computations (Rule 15c3‑1).
- Preparation, review, and analysis of monthly FOCUS reports, including summarization of results for senior stakeholders, and collaboration with front‑office, operations, and control teams on new business initiatives and expansion projects.
- Preparation of regulatory analysis related to leverage, liquidity, surveys, and ad‑hoc requests.
- Support automation of manual or legacy regulatory reporting processes.
- Active participation in regulatory and financial audits.
- Enhancement of the control environment, documentation, and reporting procedures supporting regulatory filings.
- 7-12 years of experience in financial services or a regulated environment
- Direct exposure to broker‑dealer regulatory reporting, capital, or financial controls
- Strong Excel skills and experience working with large and complex data sets
- Experience using data visualization or reporting tools to deliver insights to internal stakeholders
- Series 27
required or willingness to obtain within a defined timeframe - Ability to manage multiple deadlines in a time‑sensitive regulatory environment
- BA/BS in Accounting or Finance required
- MBA and/or CPA preferred
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