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Team Leader/ Manager - US Regulatory Reporting

Keywords / Skills : Analytical, Risk assessment, Fixed income, Operations, Loans, Regulatory reporting, Financial operations, Front office management, Regulatory Analyst, Focus

5 - 9 years
Posted: 2019-01-09

Banking, Insurance & Financial Services
Chartered Accountant (CPA)
Posted On
9th Jan 2019
Job Ref code
Job Description
Job Description:

    The Regulatory Reporting Group (Finance) is responsible for analysis and control of the firms regulatory capital as well as adherence to various rules and regulations of the SEC, FINRA, CFTC, NFA and other regulators for the Broker Dealer. The Regulatory Analyst role, working within the Broker Dealer Regulatory Reporting Group will primarily be responsible for the preparation and analytical review of the SECs weekly and monthly 15c3-3 Reserve and the SECs Net Capital computation under SEA Rule 15c3-1. This role will primarily include the following: Responsible for the preparation of the monthly fixed income haircuts which includes US Government Bonds, municipal securities, corporate bonds including investment grade, high yield and non-marketable bonds as required by SEC Rule 15c3-1 Preparation of the weekly and monthly SEC 15c3-3 Customer Reserve Formula (SEC client money protection). Preparation of the Operational Page 2 for the monthly SEC FOCUS report to be filed with the US regulators. This involves working closely with the many different operational areas within SEC LLC to compile the required identifiable items and the corresponding capital charges associated with each. . Preparation of monthly capital charges that support the monthly SEC FOCUS filing including securities borrow/ loans, currency, aged broker and customer fails. Ensuring policies and procedures are current related to the SEC 15c3-1 Net Capital computations. Act as a backup for the weekly FR2004 primary dealer reporting to the Federal Reserve Bank. Responsible for supporting the annual FINRA FinOp exams and periodic SEC exams. Additional responsibilities and ad hoc work as the US Regulatory landscape continues to evolve. Preparation and submission of the 17-H report to the SEC and CFTC. This entails compilation and organization of data related to risk assessment for SEC LLC and its affiliates. R-1 reporting of customer margin debits/ credits to FINRA on a monthly basis. Portfolio Margin reporting of the firms PM accounts to FINRA on a weekly basis. The role requires strong communication skills, as it faces off with areas within Finance, Operations and Front Office management

Desired Candidate Profile
    Please refer to the Job description above

About Company

ANRI Solutions HR Services Pvt. Ltd ANRI Solutions HR Services Pvt. Ltd. is a Delhi based leading staffing solutions entity, offering a full range of options to help businesses and individuals choose their way in the contemporary world of work. We employ large number of people every day through a network of our employees providing effective staffing for our esteemed clients. With employment opportunities in the public and private sector, on both permanent and temporary basis, we make it easy for people to find employment and for companies to find staff with the skills they need. We anticipate and benefit from changes in the contemporary world of work to get the right mix of permanent, temporary and contract staff achieve higher productivity at lower cost. Our endeavor is to stay flexible enough to rapidly adjust as per your workforce requirements to changing market condition. Within Delhi / NCR, ANRI Solutions HR Services Pvt. Ltd. has over 10 years of experience in staffing and recruitment, training, HR services, outsourcing and consulting. For all industries, all skills, all levels.
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