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| Job Category : |
Business |
| Company Name: |
Gables Search Group |
| Position Name: |
Regulatory Reporting Controller |
| Location : |
Charlotte, NC |
| Job Description : |
Regulatory Reporting Controller
U.S. Broker Dealer Regulatory Reporting Controller –
Preparation of Daily and monthly 15c3-1 or 5c3-3 Capital computation or swap dealer reporting.
Responsible for the maintenance of 15c3-1 or 15c3-3 or swap dealer procedures, control documentation, and spreadsheet compliance.
Responsible for responding to queries from Business Partners related to the daily 15c3-1 or 15c3-3 capital computation.
Assistance with providing support to FINRA, SEC, Internal, and public auditors
Working with GFCI (Offshore) team for tasks related to 15c3-1 or 15c3-3 reporting
Required Skills:
Bachelor’s degree (or higher) (finance or accounting strongly preferred)
Minimum of four years of professional experience in accounting/finance
Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 or 15c3-3
Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
Strong problem solving skills and analytical abilities
Strong communication and presentation skills
Ability to work well both independently and as part of a team
Strong attention to details
Advanced experience/skills with Excel and complex spreadsheets
Desired Skills:
Previous experience in the financial services industry
CPA or equivalent a plus
Series 27 or Ops 99 license a plus |
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