Overview
Hybrid
Depends on Experience
Full Time
No Travel Required
Skills
Accounting
Analytical Skill
Auditing
Banking
Certified Public Accountant
Communication
Continuous Improvement
Finance
Fixed Income
GAAP
IFRS
Regulatory Reporting
SEC
Securities
Finra
CFTC
Series 27
Job Details
***NO SPONSORSHIP***W-2 ONLY***HYBRID - need to be local to Jersey City, NJ***
Our Direct Client is seeking a Broker Dealer Regulatory Reporting Controller in Jersey City, NJ (Hybrid) for an FTE role.
- Analytical skills in order to be able to give an independent and relevant opinion on the control framework or the correct application of regulations on broker dealer operations.
- Strong audit skills and good knowledge of SEC and Finra regulations
- Product knowledge in Broker Dealers --- derivatives, loans, funding vehicles, currencies, fixed income, equity securities and commodities
- Ability to understand Banking & Investment business lines and able to challenge the processes with a continuous improvement mindset.
- Knowledge of SEC and Finra regulatory reporting requirement (e.g. SEC 15c3-1, 15c3-3, 17a-13, Finra 2231, Finra 4210, CFTC Seg, etc.)
- Knowledge on Financial market and investment products
- Knowledge of financial products accounting flows, treatment and their impacts on P&L, Balance Sheet and Off-Balance Sheet in US GAAP and IFRS.
- Experience in regulatory examination, regulatory reporting, financial control or related field under Banking & Financial Industry
- Bachelor s degree in Finance, Accounting, or related field required
- Series 27, CPA license a plus
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.