Regulatory Reporting Controller II - Registered

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Job Description:

This job is responsible for the preparation of regulatory reporting returns for locally regulated legal entities including broker dealers and swap dealers. Key responsibilities include performing and documenting control processes and variance analysis, preparing data submissions for regulatory reporting teams, and supporting change initiatives. Job expectations include preparing and analyzing financial reports, performing risk analysis, working with a team, and communicating effectively.

Team Specific Job Description:

The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting calculations (SEC Rule 15c3-3) for locally regulated entities including broker dealers, swap dealers and other legal entities.  Responsible for performing and documenting control processes, and the preparation of data submissions for regulatory reporting teams.

Prepares legal entity, balance sheet, liquidity, capital and FX reports filed with regulators and variance analysis. Prepare regulatory calculations, performs and documents control processes for local Banks, Broker Dealers and other legal entities, prepares/reviews data submissions for regulatory reporting teams.

Responsibilities:

This job is responsible for the preparation of Regulatory Reporting for locally regulated entities including broker dealers, swap dealers and other legal entities. Key responsibilities include performing and documenting control processes, performing variance analysis, preparing data submissions for regulatory reporting teams, and regulatory change initiatives. Key expectations include the ability to prepare and analyze financial reports, perform risk analysis, proficiency within Microsoft suite, be able to work within a team setting and independently, and be an effective communicator.

• Prepares complete and accurate regulatory reporting calculations in a timely manner
• Prepares reconciliations and variance analysis for daily/monthly computations
• Prepares and reviews trend and analytical reporting related to Broker Dealer computations
• Works with internal controls functions and External Auditors
• Assists with local regulators and other regulatory examination inquires
• Supports regulatory change projects in testing and documentation
• Supports Operational Excellence (OpEx) initiatives to streamline processes improvements

Required Qualifications:

• Minimum 2 years of relevant professional experience in accounting/finance in the financial industry
• Strong financial analytics skills with attention to detail
• Advanced skills within the Microsoft suite specifically related to Excel, Word, and PowerPoint
• Candidate must be able to work both independently and as team member
• Self-Starter with strong communication and presentation skills

Desired Qualifications:

• Bachelors' degree in Accounting/Finance
• Previous experience in Broker Dealer or Regulatory Reporting
• FINRA Series 99 or 27
• CPA or equivalent a plus

Skills:

• Analytical Thinking
• Controls Management
• Financial Accounting
• Financial Analysis
• Reporting
• Attention to Detail
• Oral Communications
• Policies, Procedures, and Guidelines Management
• Risk Management
• Written Communications
• Continuous Improvement
• Interpret Relevant Laws, Rules, and Regulations
• Project Management
• Regulatory Compliance
• Stakeholder Management

Shift:

1st shift (United States of America)

Hours Per Week:

40

Pay Transparency details

US - NJ - Jersey City - 525 Washington Blvd (NJ2525)Pay and benefits informationPay range$90,000.00 - $132,600.00 annualized salary, offers to be determined based on experience, education and skill set.Discretionary incentive eligibleThis role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.BenefitsThis role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.