Regulatory Reporting Analyst - Broker-Dealer

Join a Leading Financial Services Firm through Aquent!

Aquent is seeking a highly skilled and motivated individual to join a prominent financial services firm, a leader in its industry dedicated to empowering individuals and institutions through innovative financial solutions. This organization is committed to maintaining the highest standards of regulatory compliance and operational excellence, ensuring the integrity and stability of the financial markets it serves. As an Aquent talent, you will play a critical role in supporting these vital functions, contributing directly to the firm's robust regulatory framework and its continued success.

Are you ready to make a significant impact in the financial regulatory landscape? We are looking for a dedicated professional to join a dynamic team responsible for the meticulous preparation, filing, and review of critical financial and operational regulatory reports. This is an exciting opportunity to leverage your expertise to ensure the firm's adherence to complex regulatory requirements, directly safeguarding customer assets and contributing to the stability of the financial system. You will be at the forefront of regulatory compliance, influencing key decisions and processes within a fast-paced and evolving environment.

What You'll Do

In this role, you will be instrumental in upholding the firm's commitment to regulatory excellence. Your contributions will directly support the operational integrity of a broker-dealer and a futures and foreign exchange entity, ensuring that all reporting is accurate, timely, and compliant with industry standards. You will:

• Prepare and/or review weekly Customer Reserve computations in compliance with SEA Rule 15c3-3.
• Prepare and/or review Net Capital computations in compliance with SEA Rule 15c3-1.
• Conduct thorough review and analysis of the Financial and Operational Combined Uniform Single (FOCUS) report.
• Assess the impact of new client initiatives on existing regulatory filings and procedures, providing strategic insights.
• Review proposed regulations and articulate potential impacts to finance and business leadership, guiding proactive adjustments.
• Prepare the daily Segregation requirements for the futures and foreign exchange entity to the NFA.
• Provide essential support during on-site or remote examinations from the entity's regulators (FINRA/SEC, NFA).
• Review reporting and operational processes to identify opportunities for increased efficiency, effectiveness, and compliance with 17a-5 and SOX requirements.

Qualifications

We are looking for a professional who is not only skilled but also passionate about regulatory compliance and operational accuracy. To thrive in this role, you should possess:

• An undergraduate degree in Accounting or Finance.
• 3-5 years of experience in accounting or reporting-related functions, preferably within a regulated financial environment.
• A strong team player mentality with a proven ability to foster partnerships with various stakeholders across the organization.
• Excellent attention to detail and a commitment to maintaining a high degree of accuracy in all tasks.
• Strong analytical and organizational skills, enabling effective management of complex data and processes.
• The ability to work independently in a fast-paced environment, consistently meeting tight deadlines.
• A reliance on experience and sound judgment to plan and accomplish goals effectively.

About Aquent Talent:

Aquent Talent connects the best talent in marketing, creative, and design with the world's biggest brands. Our eligible talent get access to amazing benefits like subsidized health, vision, and dental plans, paid sick leave, and retirement plans with a match. Aquent is an equal-opportunity employer. We evaluate qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, and other legally protected characteristics. We're about creating an an inclusive environment-one where different backgrounds, experiences, and perspectives are valued, and everyone can contribute, grow their careers, and thrive.

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