Description
The Regulatory Reporting Associate prepares and reviews SEC and CFTC financial reports, submits required regulatory files, analyzes and verifies data, monitors regulatory changes, supports audits and examinations, and helps maintain internal controls and reporting processes. The role requires five years of broker-dealer industry experience, preferably with 15c3-1, 15c3-3 Customer Reserve, and FCM reporting, along with knowledge of accounting and financial principles, regulatory reporting experience, analytical skills, and proficiency with financial reporting systems.
