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SG Americas Securities, LLC (SGAS): Broker-Dealer Regulatory Reporting Group
This department is responsible for the local regulatory reporting (SEC, FINRA, CFTC, CME, FRBNY, etc.) in SGAS. Additionally, team works closely with both FCM and Securities operations, front office, internal audit, external audit and second level control.

• CFTC Segregated, Secured, Swaps protection formulas and SIDR – preparation, review, analysis
• 15c3-1 Net Capital – preparation, review, analysis
• Maintenance of existing relationships with Regulators
• Automation of legacy manual processes
• Other reports such as Leverage, Liquidity, Surveys and Ad Hoc –analysis, review
• Cross training and staff development
• Actively participate and manage Regulatory and Financial Audits
• Enhance control environment and documentation
• Monthly FOCUS report – analysis, review
• Weekly and Bi-Weekly Filings to FINRA and CFTC/CME
• Supervise CFTC Regulatory Reporting Team