More jobs:
AVP, Broker Dealer Regulatory Reporting
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-07-01
Listing for:
Taurus Search
Full Time
position Listed on 2026-07-01
Job specializations:
-
Finance & Banking
Financial Analyst
Job Description & How to Apply Below
A leading Financial Institution, is looking for an AVP to join their growing Broker Dealer Regulatory Reporting team. This firm is offering, great work life balance and hybrid work out of their NYC office.
Job Responsibilities- Preparation of the daily net capital (15c3-1) and customer reserve formula (15c3-3)
- Assist with the monthly Focus filing
- 17H Risk Assessment Filing – quarterly preparation and analysis
- Other FINRA Reporting – preparation and analysis
- Undergraduate degree with 5+ years of experience in the Financial Services industry, preferably in a role working with the daily net capital (15c3-1) or customer reserve (15c3-3) calculations from a preparation or operational standpoint
- Experience working in Accounting, Finance, or Project Management is ideal
- Ability to build strong internal and external relationships
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