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Phaxis
Broker Dealer Regulatory ReportingPhaxis • New York, NY, United States
Broker Dealer Regulatory Reporting

Broker Dealer Regulatory Reporting

Phaxis • New York, NY, United States
30+ days ago
Job type
  • Full-time
Job description

Regulatory Reporting Professional

Broker dealer client is seeking a Regulatory Reporting professional to join its Finance & Accounting team in New York. This role is responsible for broker-dealer regulatory reporting compliance, with a focus on net capital, customer reserve, and FOCUS reporting. The position reports to the Head of Regulatory Reporting.

Key Responsibilities:

  • Prepare and review net capital calculations under SEC Rule 15c3-1 (daily/monthly).
  • Prepare and review customer and PAB reserve computations under SEC Rule 15c3-3 (weekly/monthly).
  • Prepare and review SEC Rule 17a-5 FOCUS reports and supplemental regulatory filings (SIS, SLS, OBS, SSOI, Custody, Schedule I).
  • Maintain documentation and internal controls supporting compliance with Financial Responsibility Rules.
  • Liaise with auditors and regulators during examinations.
  • Assess regulatory capital impact of new business initiatives and support ad hoc projects.

Qualifications:

  • 5+ years of broker-dealer regulatory reporting experience (15c3-1, 15c3-3, FOCUS).
  • Strong knowledge of Financial Responsibility Rules, including possession or control requirements.
  • Client Series 27 (or ability to obtain).
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Broker Dealer Regulatory Reporting • New York, NY, United States

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