Regulatory Reporting Associate




New York, New York

Employment Type



A top financial services firm in NYC is looking to add a 2-4+ year Regulatory Reporting accounting professional to their team.

Job Description:

Compensation : $100000 - $120000
Job ID : 13510


  • Preparing financials and books and records for the Broker-Dealer according to GAAP and ensuring all regulatory reporting requirements are met
  • Ensuring accurate and timely financial reports submitted to any securities industry regulatory body
  • Supervision and/or performance of the Broker-Dealer’s responsibilities under all financial responsibility rules promulgated pursuant to the provisions of the Securities Exchange Act of 1934 (Exchange Act)
  • Ensuring accurate and timely completion of the month-end, quarter-end, and year-end close processes
  • Facilitating the following duties: FOCUS Reports; Net Capital Computations (15c3-1); Customer Reserve Computations (15c3-3); Supplemental Schedule of Income (SSOI); Form Custody; Brokerage Statement Analysis; Securities Investor Protection Corporation (SIPC); Annual Audit Support; FINRA Examination Support; Accounting Due Diligence; and Bookkeeping
  • Overseeing audit and examination related processes throughout the year.

Job Requirements:


  • B.S. in Accounting or Finance (or related experience).
  • Series 99 preferred (or willing to obtain).
  • CPA preferred.
  • 2-5 years of broker-dealer business finance and operations, including reporting, and exposure to financial regulation.
  • Experience with regulatory reporting, specifically FINRA and SEC requirements.
  • Highly motivated, participative team player with strong interpersonal skills.  
  • Strong communication skills, both written and verbal.
  • Ability to work well both independently and as part of a team.
  • Strong organizational and time management skills; demonstrated ability to manage multiple projects and deadlines.


Disclosure:  The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment.  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.