Finance & Regulatory, Controllership | 100% Remote

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Posted 9 days ago United States Salary undisclosed
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Job Description

***Associate, Finance & Regulatory, Controllership***

***100% Remote | Preferred in NY/NJ/CT***

***$70/hr - $80/hr on W2 (D.O.E.)***

About Client:

Our client founded in 1935 is a global leader in financial services and has consistently delivered first-class business in a first-class way. From their origins as a small Wall Street partnership to becoming a global firm of more than 60,000 employees today, our client has been committed to clients and communities for 85 years. As a global financial services firm, they are committed to technological innovation and rely on their technologists around the world to create leading-edge, secure platforms for all their businesses.


Provide cross-entity support for certain aspects of the daily net capital and/or customer reserve calculations. He/she will also be responsible for select components of the monthly calculations and FOCUS reporting. Production and support are distributed across team members; potential tasks include:

  • Preparing and analyzing daily and month-end reporting of net capital, including haircuts and other regulatory capital deduction schedules to support the computation of net capital
  • Preparing daily customer reserve calculations, including deep analysis of material changes
  • Preparing and analyzing reports filed with the SEC, FINRA and other regulatory agencies
  • Managing the monthly Data Attestation process for information providers
  • Assisting with matters arising from the Financial Responsibility Rules, including documenting controls and creation of policies and procedures for controls
  • Assist with testing of new processes, technology, and reporting improvements
  • Addressing questions from Business Unit Controllers, other functional areas, and regulators
  • Beyond production, look for improvement opportunities (data, process, technology) and take ownership to drive improvements.

Skills required:

  • Team player with solid relationship building and influencing skills - both within the US LE Reg team and across Operations, Business Unit controllers and other functional groups
  • Good communication skills - a clear and succinct communicator verbally and in writing
  • Able to produce high quality work to stringent deadlines
  • Strong data analysis skills - comfortable dealing with large amounts of complex inter-related data sets to solve problems and distill insights. Strong Excel skills are essential. Alteryx skills would be beneficial
  • Can receive high-level direction and then figure out the next steps
  • Learns quickly from subject matter experts, following their own curiosity, and from scouting out other useful information sources
  • 3+ years of public/private experience with financial and/or regulatory reporting
  • Bachelors' Degree in Accounting or Finance
  • The position does not require specific knowledge of net capital or customer reserve rules, FOCUS reporting, generally accepted accounting principles (GAAP) or product knowledge, but it would be beneficial.

Job Requirements:
Reporting of net capital, SEC, FINRA