About Our Client
Stable, successful international broker dealer with offices based downtown Mantattan
Job Description
My client is an international broker dealer with offices based down town.
This is a very stable, successful broker dealer which offers excellent work life balance
This is a very hands on role, so will require a candidate to be deeply involved in the day to day.
The role will report to the head of the Regulatory Reporting team and Assist in preparing the Focus and Supplemental Reports, (ie, SLS, SSOI, OBS)
Responsible for daily and month-end Net Capital Calculations under SEC Rule 153c3-1 and monthly reconciliation to the balance sheet
Responsible for assisting in the preparation of the weekly and month end 15c3-3 and PAB Reserve calculations
Knowledge of Daily Futures Segregation and Secured 30.7 Calculations
Prepare month-end Suspense entries for balance sheet close
Short Interest Reporting
Monthly Finra Leverage Ratio
Assist in preparing the month end Focus analysis package presented to Senior Management
Assist in internal and external Regulatory exams and audits
Maintain and prepare Policies and Procedures
Special Project work regarding new Regulatory Rules
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual’s status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
Minimum of 7-10 years Regulatory work experience
Strong knowledge of Broker-dealer Regulatory Reporting (Rules 15c3-1 and 15c3-3)
Excellent Excel skills and strong knowledge of Regulatory Applications
Strong oral and written communication skills
Excellent organizational skills needed
Strong Team Player
B.S. Accounting or Finance Degree
Series 99 or Series 27 (A plus)
What’s on Offer
Attractive base and bonus
Excellent benefits package
Hands on position working with a great team and supportive senior management
Excellent work life balance
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