Senior Regulatory Reporting Controller

Location: Charlotte, NC, United States
Enterprise Role Overview:
Reviews legal entity P&L, balance sheet, liquidity, capital and FX reports filed with the local regulators and challenges variance analysis. Reviews periodic regulatory calculations and control processes for local regulated entities including: Banks, Broker Dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams.
Senior Regulatory Controller 15c3-1 role – Vice President
  • Preparation, review and signing off on 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.
  • Interacting and providing support to FINRA, SEC, Internal, and public auditors
  • Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
  • Help provide guidance and training for team members
  • Help build NC location 15c3-1 capital team
Required Skills:
  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)
  • 8-10 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
April A. Estes
Senior Recruiter
720-439-2609 Direct 

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