Controllers ensure that the firm meets all the financial control and reporting obligations of a global, regulated and public financial institution. Candidates should expect challenging, multi-faceted assignments and the opportunities to work closely with business areas and senior management on a variety of accounting issues and to gain in-depth knowledge of key business drivers and industry dynamics.

Broker-Dealer Regulatory Reporting is seeking an Analyst to serve as a member of its SEC Customer Protection team.  Our team is responsible for the daily SEC 15c3-3 Reserve Formula calculation and ensuring customer assets are appropriately protected within our main US Broker-Dealer Entity.

Principal Responsibilities:

• Assist in the computation of the daily SEC 15c3-3 Customer and PAB Reserve Formula requirements. 
• Prepare monthly and quarterly reporting and filings such as the Broker-Dealer’s monthly FOCUS report 
• Facilitate reporting to senior management regarding specific drivers and variances associated with the Reserve Formula requirements. 
• Liaise with various internal teams/stakeholders to assist with audit and regulatory examinations and inquires 
• Analyze and advise regarding new trades, transactions, or system flows and any potential impact to the US customer protection calculations.
• Drive initiatives/projects to improve control processes, procedures, and workflows

 

Qualifications:

• Up to 3 years of experience.
• An undergraduate degree in business, finance, or other related fields is preferred.
• Proficient in Microsoft Office (Microsoft Excel, PowerPoint etc.) with an ability to effectively analyze larger data sets via merging data, pivot tables, etc.
• Detailed oriented candidate with an analytical and control mindset
• Interpersonal skills and ability to communicate effectively in both oral and written form.
• Strong work ethic and highly motivated individual with outstanding record of professional achievement.