Overview
Hybrid
Depends on Experience
Full Time
Skills
.NET
Business Intelligence
Finance
Management
Microsoft Excel
Regulatory Reporting
SEC
Series 27
FINRA
CFTC
Audits
Regulatory management FCM
Job Details
Our Direct client in Chicago, IL is seeking a FCM Regulatory Reporting Specialist for a FT position.
- CFTC Segregated, Secured, Swaps protection formulas and SIDR preparation, review, analysis
- 15c3-1 Net Capital preparation, review, analysis
- Maintenance of existing relationships with Regulators
- Other reports such as Leverage, Liquidity, Surveys and Ad Hoc analysis, review
- Actively participate and manage Regulatory and Financial Audits
- Weekly and Bi-Weekly Filings to FINRA and CFTC/CME
- Supervise CFTC Regulatory Reporting Team
- Strong knowledge of CFTC Segregation, Secured, and Cleared Swap Customer Calculations including residual interest and external notification requirements
- Strong knowledge of SEC Rule 15c3-1 and related notification requirements
- Strong knowledge of broker dealer and FCM operations
- Strong Excel computer skills and ability to work with large sets of data
- Ability to automate and improve processes
- Series 27 Required
- Strong working knowledge of CFTC Customer Protection formulas
- Working knowledge of foreign carrying brokers
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.