Regulatory Reporting Analyst

About This Role

Apex Finance is seeking a detail‑oriented and analytical Regulatory Reporting Analyst to join our dynamic team. This role is crucial for maintaining the firm's regulatory compliance by managing complex reporting tasks, analyzing financial data, and ensuring accuracy in all regulatory filings. The Regulatory Reporting Analyst will collaborate extensively with various teams including Billing, Accounting, Treasury, Client Service, Operations, Compliance, and Technology, making an impactful contribution towards safeguarding the firm and its clients.

• Regulatory Compliance:
  Ensure that the firm adheres to securities laws and regulations such as Rule 15c3-3 regarding customer protection by continually applying and updating knowledge of these rules.
• SEC Reporting:
  Lead the preparation of the firm's FOCUS report in compliance with Rule 15c3-1, which includes crafting the regulatory balance sheet and related schedules.
• Futures Industry Reporting:
  Manage daily and monthly regulatory reporting responsibilities for the futures business, focusing on compliance and process improvement.
• Reserve Calculations and Reporting:
  Actively participate in the calculation of the weekly 15c3-3 reserve computation, resolving issues and reconciling accounts as required.
• Capital Charges Calculations:
  Prepare monthly capital charges, including detailed analysis of haircuts, margin calls, and fails to deliver/receive to determine net capital accurately.
• Accounting Support:
  Assist with the monthly accounting close specifically related to regulatory reporting needs and maintain accurate reconciliations of balance sheet accounts.
• Process Optimization:
  Continuously seek out and implement more efficient and impactful methods for regulatory reporting tasks, while upholding high standards of accuracy and compliance.

• Bachelor’s degree in Accounting, Finance, or a related field.
• 2 years of general accounting experience, with a strong preference for candidates who have experience in broker‑dealer accounting and operations.

• Regulatory Knowledge:
  Familiarity with SEC Rule 15c3-1, Rule 15c3-3, and other relevant financial regulatory frameworks.
• Industry‑Specific
  
  Experience:
  
  Prior experience with futures industry regulatory reporting.
• Certifications:
  
  Series 27, 7, or 99 certifications are beneficial.
• Technical
  
  Skills:
  
  Proficiency in Net Suite and advanced Excel capabilities are highly valued.
• Analytical Abilities:
  Exceptional analytical and problem‑solving skills to accurately handle complex data and reporting tasks.
• Attention to Detail:
  High level of accuracy and attention to detail in all aspects of work.
• Independence:
  Ability to function effectively both independently and as part of a team in a fast‑paced environment.
• Communication:
  Strong communication skills, capable of constructing well‑formulated written and verbal reports and presenting complex information clearly and effectively.
• Adaptability:
  Can manage multiple projects and tight deadlines, adapt quickly to changes, and handle competing priorities.

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401(k) match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

$57,456 – $71,820

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.