Regulatory Reporting Associate

Pay Rate: $45 per hour
Location: Jersey City, NJ

Responsibilities:

• Prepare and review regulatory reports in compliance with SEC & CFTC financial regulations and internal company policies.
• Ensure accurate and timely submission of all required files to regulatory agencies.
• Collaborate with internal teams to gather, analyze, and verify data for reporting purposes.
• Monitor changes in regulatory requirements and implement necessary updates to reporting processes.
• Support audits and examinations by providing requested documentation and explanations.
• Assist in the development and maintenance of internal controls for regulatory reporting processes.
• Identify opportunities for process improvement to enhance reporting accuracy and efficiency.
• Maintain a thorough understanding of accounting standards and financial reporting requirements.

Requirements:

• 5+ years of experience working in the Broker Dealer Industry, preferably experience working with 15c3-1, 15c3-3 Customer Reserve, and FCM regulatory reporting inclusive of CFTC filings.
• Strong knowledge of accounting and financial principles.
• Experience with regulatory reporting within the financial services industry.
• Excellent analytical and problem-solving skills.
• Proficiency in financial reporting systems and tools.
• High attention to detail and accuracy in data analysis and reporting.
• Effective communication and collaboration skills.
• Ability to adapt to changing regulations and reporting requirements.