Broker Dealer Regulatory Reporting Analyst - New York
2 weeks ago

Job summary
We are seeking an analyst to support our broker-dealer client with SEC Rule 15c3-3 (Customer Protection Rule) reserve and possession/control calculations on a contract basis.<+Responsibilities
- Prepare daily or weekly Customer Reserve Computations under SEC Rule 15c3-3.
- Validate possession/control of customer securities in accordance with regulatory requirements.
- Maintain and reconcile the Special Reserve Bank Account for the Exclusive Benefit of Customers.
- Support regulatory obligations including FOCUS filings, internal/external audits, and SEC/FINRA examinations.
Total compensation and benefits consist of salary, group health plan benefits, 401(K), profit-sharing contributions, flexible time off, parental leave. Talent Shift reserves right to make changes based business needs..
Job description
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