SG Americas Securities LLC (SGAS) US Broker-Dealer Regulatory Reporting team is responsible for the local regulatory reporting (SEC, FINRA, CFTC, CME) of SGAS.

15c3-1 Net Capital – Assist in monthly preparation, analysis, review. Present and communicate the results to management and the CFO.
15c3-3 Customer and PAB protection formulas – Assist in the preparation, analysis, review. Present and communicate the results to management and the CFO.
US GAAP Financial Statement- assist in preparation and analysis of disclosures and work closely with external audit team.
17a-5 compliance including preparation and review of procedures and controls.
Proactively identify control weaknesses and areas for improvement and automation in order to reduce operational risks and enhance the control environment.
Prepare and/or review supplemental FOCUS reporting schedules such as SSOI, Form Custody, OBS, and SLS.
Be a key contact for various regulatory exams and audit, both external and internal.
Ad Hoc Reporting – preparation, analysis & review.

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