Regulatory Reporting Controller II

Location: Charlotte, NC, United States
Role Overview:
Prepares legal entity P&L, 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.
U.S. Broker Dealer Regulatory Reporting Controller II –
  • Preparation of Daily and monthly 15c3-1 Capital computation.
  • Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.
  • Assistance with providing support to FINRA, SEC, Internal, and public auditors
  • Working with FAKC (Offshore) team for tasks related to 15c3-1 capital
  • Preparation of daily FCM CFTC client protection calculations
Required Skills:
  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)
  • Minimum of four years of professional experience in accounting/finance
  • 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
  • Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3
  • CPA or equivalent a plus
Tami Andrade Fitzpatrick
Senior Recruiter
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