REGULATORY REPORTING FINOP - NYC - to $140,000

New York City, NY

OPEN JOB: Regulatory Reporting FINOP
LOCATION: NYC Financial District - Hybrid (3 days per week on site – after 6 months of employment)
COMPENSATION: $120,000 to $140,000 (open to experience)

***After six months employees can take advantage of our client’s hybrid work model, allowing you to work remotely for two days per week.

Our client: is a Premier Regulatory Accounting Firm that delivers comprehensive accounting and regulatory reporting services to 100 plus FINRA-registered broker-dealers and financial service providers. The firm’s expertise includes Full Service, Bookkeeping & Accounting, Series 27 FinOp Licensing, Submission of Regulatory Filings for Broker Dealer Members.:
They are looking for a Regulatory Reporting FinOp to become part of our clients’ fast-growing team!

KEY RESPONCIBILITIES:

Assist in the preparation of 15c3-3 Customer and PAB Reserve Computations on a weekly and monthly basis.
Compile, review, and submit financial reports to regulatory agencies such as FINRA, the SEC, and other relevant state or federal bodies.
Ensure compliance with all applicable regulations, including net capital computations, customer protection rules, and broker-dealer reporting obligations.
Work closely with clients to collect financial data required for accurate reporting.
Stay informed of regulatory updates and ensure compliance for both the firm and its clients.
Analyze financial statements (balance sheets, income statements, trial balances) for regulatory filing purposes.
Prepare monthly, quarterly, and annual financial reports, including FOCUS Reports (Financial and Operational Combined Uniform Single Report).
Provide regulatory reporting guidance to clients and offer recommendations for compliance enhancements.
Support audits and examinations by regulatory bodies, ensuring proper documentation and clear explanations.
Maintain detailed records of all regulatory submissions and correspondence with regulators. Keep up with industry trends, legal changes, and best practices in regulatory reporting.

QUALIFICATIONS:

Licensing: Active Series 27 (Financial and Operations Principal) preferred. Education: Bachelor’s degree in accounting, Finance, Economics, or a related field.
Bachelor’s degree in accounting, Finance, Economics, or a related field.
2-4 years of experience in regulatory or financial reporting, preferably within a broker-dealer or financial services organization. Strong understanding of Broker-Dealer Financial Responsibility Rules, including:
15c3-1 (Net Capital Rules)
15c3-3 (Customer Protection Rule) In-depth knowledge of reporting requirements set by FINRA, the SEC, and other regulatory entities. Solid grasp of broker-dealer accounting principles.
Familiarity with back-office reporting systems (e.g., Inteliclear, BetaNXT, Broadridge, FIS) is a plus. Advanced Excel skills (pivot tables, complex formulas, etc.). Experience handling intricate regulatory reporting calculations, including:
----Net capital haircuts
----Segregation excess/deficit calculations
----Customer margin deficit/collateral concentration analysis
Excellent communication skills – Ability to simplify complex regulatory concepts for clients and colleagues.
Strong attention to detail – High accuracy when dealing with financial data.
Problem-solving mindset – Ability to work efficiently under pressure and meet deadlines.

If you are interested in pursuing this opportunity, please respond back and include the following:

• MS WORD Resume
• required compensation.
• Contact information.
• Availability

Upon receipt, one of our managers will contact you to discuss the position in full detail.

Jason Denmark
Recruiting Manager
INTERMEDIA GROUP, INC.
EMAIL: jdenmark@intermediagroup.com
LINKEDIN: https://www.linkedin.com/in/jasondenmark/

REGULATORY REPORTING FINOP - NYC - to $140,000

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