Broker Dealer Regulatory Reporting Lead Analyst - VP

The Vice President in the Broker Dealer Regulatory Reporting Department at Citi is a senior-level subject matter expert responsible for ensuring the capital adequacy and regulatory compliance of Citi's US broker-dealers. This role involves overseeing complex financial computations, managing regulatory reporting, and driving process improvements in a dynamic and highly regulated environment. The successful candidate will act as a key partner to business stakeholders and technology teams to ensure full compliance with SEC and FINRA requirements.

• Net Capital Computations: Oversee the daily and monthly net capital computations in accordance with SEA Rule 15c3-1, ensuring accurate calculations, deductions, and allowable asset classification.
• Customer Reserve Computations: Direct the preparation and review of the daily customer reserve computation and PAB reserve formula in accordance with SEA Rule 15c3-3.
• Monitoring and Analysis: Monitor and analyze changes in net capital levels, reserve requirements, and related metrics, escalating issues to senior management as appropriate.
• Process Improvement: Leverage regulatory reporting platforms to streamline data aggregation, computation, and reporting workflows.
• Technology Partnership: Partner with technology teams to enhance system controls, automate manual processes, and improve data integrity across the regulatory reporting infrastructure.
• System Enhancements: Evaluate and implement improvements to reporting systems, establishing controls to ensure compliance with SEC Financial Responsibility Rules.
• Change Management: Serve as a lead during business change initiatives, such as product launches, system conversions, and booking model changes.
• Control Frameworks: Design and maintain strong control frameworks around regulatory reporting capital and reserve formula processes, including key reconciliations, limit thresholds, and documented review evidence.

• Experience: Prior VP-level responsibility or demonstrated readiness to operate independently in a senior individual-contributor role.
• Education: Bachelor’s degree in accounting, finance, or a related field.

Getzville New York United States

$92,000.00 - $

In addition to salary, Citi’s offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit  Available offerings may vary by jurisdiction, job level, and date of hire.

Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.

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