Broker Dealer Senior Regulatory Reporting Specialist
Societe Generale
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See open jobs at Societe Generale.See open jobs similar to "Broker Dealer Senior Regulatory Reporting Specialist" Getro.org.Compliance / Regulatory
Posted on May 13, 2025
Responsibilities
- Prepare and file the monthly FOCUS report with various Regulators. Must be in a position to become a key contributor with the FOCUS Report preparation process from start to finish including analysis, review and presentation of FOCUS results.
- 15c3-1 Net Capital – Assist in the daily and monthly preparation, analysis, review.
- 15c3-3 Customer and PAB protection formulas – Assist in the compilation of Customer & PAB reserve computation. Present and communicate the results to Regulatory management and the CFO.
- 17H Risk Assessment Filing – quarterly preparation and analysis.
- 17a-5 compliance including preparation/review of procedures and controls.
- Proactively identify control weaknesses as well as areas for improvement and automation in order to reduce operational risks and enhance the control environment.
- Prepare and/or review supplemental reporting schedules such as SSOI, Form Custody, OBS, and SLS.
- Be a key contact for various regulatory exams and audits, both external and internal. Provide requested support and documentation.
- FBAR Filing – annual preparation and analysis.
- Ad Hoc Reporting – preparation, analysis & review.
- Review and assist in the preparation of the FRY -15 FRB report.
- Other FINRA Reporting – preparation and analysis.
This job is no longer accepting applications
See open jobs at Societe Generale.See open jobs similar to "Broker Dealer Senior Regulatory Reporting Specialist" Getro.org.