Position Name Manager of Securities Regulatory Reporting Reports to (Open) Location (Open) Duties · Directly responsible preparing and reviewing the Customer Reserve Formula - Rule 15(c) 3-3. · Prepare and review the monthly FOCUS filing Rule 15(c) 3-1; prepare and review the report as it relates to securities businesses for incorporation into the full filing, and providing backup for preparing the entire report, as needed. · Research and interpret rules and interpretations relating to 15(c) 3-1 and 15(c) 3-3 issues. · Assess/improve financial and operational reporting/controls and processes. · Partner with the with operations groups in understanding and identifying information to be considered in preparing the Reserve Formula and FOCUS report. Design and implement automated reports to ensure timely, accurate information and compliance with the securities regulations. · Develop and implement an allocation system for calculating the reserve requirements. · Coordinate and assist regulators in their audits. How Handled Now Finance staff in Chicago Educational Experience BA in Accounting, CPA and Series 27 a plus Type of Experience Required Broker Dealer experience with wide security product base, DEA experience (NASD, SEC, NYSE). Public accounting experience with substantial Broker Dealer client base will be considered. Commodity regulatory knowledge helpful Years of Experience Required 4 to 8 years Special Skills or Knowledge of Equipment required · Understand transactions operational flows, accounting and regulatory impacts. · Working knowledge of securities operational systems and relevant financial reports. Familiarity with Fortis, GMI helpful, but not necessary. · Hands on, but with the vision and ability to create changes in processing and implement new system solutions. · Organized, with the ability to create clear audit trails.
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