Senior Analyst, Broker Dealer Regulatory Reporting

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, PeopleSoft, 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.