Sr. Accountant

Broker-Dealer Regulatory Reporter

The salary range for this position is $95,000-$100,000, plus bonus and it comes with benefits, including medical, vision, dental, life, and disability insurance.

Position Purpose : The Broker-Dealer Regulatory Reporter is responsible for compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC, FINRA, and CME, ensuring the brokerage firm adheres to all securities trading regulations.

Primary Responsibilities will include :

• Data Collection and Analysis : Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements.
• Report Generation : Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines.
• Compliance Monitoring : Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary.
• Regulatory Updates : Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly.
• Data Validation : Perform quality checks on data accuracy to ensure the integrity of regulatory reports.
• Collaboration : Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns.
• Audit Support : Assist internal and external auditors with regulatory reporting related inquiries.

Requirements Qualifications :

To apply to this hybrid role please send your resume to john.sadofsky@roberthalf.c0m

Robert Half is the world's first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles. Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract / temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract / temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information. 2025 Robert Half. An Equal Opportunity Employer. M / F / Disability / Veterans.