Regulatory Reporting Associate

A Bank in New York City is seeking an experienced professional to join their Regulatory Reporting team as an Associate.

Responsibilities

Prepare daily net capital calculations for regulated broker-dealer entities in accordance with applicable requirements.Calculate capital charges associated with underwriting activity and monitor confirmed sales and related exposures.Support periodic regulatory capital calculations for international entities.Prepare and review monthly and quarterly regulatory reports, ensuring accuracy and timely submission.Analyze trial balance movements and investigate variances to support the integrity of financial records and regulatory reporting.Partner with finance, operations, and other internal teams to validate financial information and reference data.Maintain and update regulatory reporting procedures to reflect changes in requirements and business activities.Research new and revised regulatory requirements and support their implementation, including assessing reporting implications for new products and transactions.Assist with special projects, reporting requests, and process improvements.

Qualifications

Bachelor’s degree in Accounting, Finance, or a related field.2–4 years of relevant experience, including at least 1 year of broker-dealer regulatory reporting.Working knowledge of SEC Rule 15c3-1, including net capital calculations and related capital requirements.Experience preparing or supporting FOCUS reports and other broker-dealer regulatory filings.Familiarity with SEC Rule 15c3-3 and customer protection requirements.Strong accounting and analytical skills, with the ability to reconcile financial data and investigate variances.Proficiency in Microsoft Excel and strong attention to detail.Ability to manage reporting deadlines and collaborate effectively with internal teams.