Senior Analyst, Broker Dealer Regulatory Reporting

Job Description Summary

Under general supervision, uses knowledge and skills obtained through education, training, and experience to support broker/dealer regulatory reporting activities. The primary responsibility of this role is to prepare and support the customer reserve calculation in accordance with SEC Rule 15c3‑3, including gathering source data, analyzing calculation inputs, documenting results, and escalating questions or exceptions as appropriate. The role may also assist with journal entries, financial analysis, FOCUS report preparation under SEC Rule 15c3‑1, and other various SEC and FINRA regulatory filings.

Job Description

Essential Duties and Responsibilities

• Prepare and support the customer reserve calculation in accordance with SEC Rule 15c3‑3, including compiling inputs, performing reconciliations, analyzing results, and documenting support.
• Prepare monthly and quarterly senior management reporting on drivers and variances of the reserve formula
• Assist with the review of calculation inputs, variances, exception items, and supporting schedules to help ensure accurate and timely regulatory reporting.
• Assist with regulatory report filings, journal entries, and month‑end regulatory reporting post‑closing activities.
• Assist in the development of procedures and flowcharts covering the preparation of the reserve calculation.
• Support process improvements, technology initiatives, and control enhancements related to customer reserve and other regulatory reporting processes.
• Work with IT, Operations, Finance, and other departments to research and resolve data, system, and process questions impacting regulatory reporting.
• Assist with external audits, internal audits, and regulatory examinations by preparing support and responding to information requests.
• Perform other duties and responsibilities as assigned.

Knowledge of

• Accounting concepts, practices and procedures, including reconciliations and financial analysis.
• Financial products.
• Broker/dealer regulatory rules, with emphasis on SEC Rule 15c3‑3 customer reserve requirements and general exposure to SEC Rule 15c3‑1.
• Internal controls and documentation standards as they relate to regulatory reporting processes.
• Broker/Dealer Operations
• SIS, IMPACT, People Soft, Axiom/Adenza, and other systems used in regulatory reporting processes.
• MS Excel – (vlookups, pivot tables, macros, etc.)

Skill in

• Managing multiple recurring tasks, deadlines, and priorities.
• Analyzing financial information.
• Supporting technology‑related projects and process enhancements.
• Operating standard office equipment and using required software applications, including word processing, spreadsheets and data bases.
• Researching broker/dealer regulatory reporting questions with guidance from more experienced team members.

Ability to

• Participate in meetings and contribute relevant information to support team outcomes.
• Follow established procedures and identify questions, exceptions, or improvement opportunities for escalation.
• Work independently on routine assignments and exercise sound judgment when escalating non‑routine matters.
• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.
• Communicate status, questions, and potential issues clearly to team members and management.
• Explain or clarify financial and regulatory reporting information to internal stakeholders.
• Learn new processes, systems, and regulatory concepts and apply feedback to improve work product.
• Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast‑paced work environment.
• Provide a high level of customer service.

Education

Bachelor’s:
Accounting, Bachelor’s:
Business Administration, Bachelor’s:
Finance

Work Experience

General Experience – 3 to 6 years

Certifications

Travel

Less than 25%

Workstyle

Hybrid

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions. This position is eligible for a benefits package that may include medical, dental, and…