Broker-Dealer Regulatory Reporter, Robert Half

Broker-Dealer Regulatory Reporter

Robert Half

Location:

United States, Chicago

Category:

Finance

Contract Type:

Employment contract

Salary:

95000.00 - 100000.00 USD / Year

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Job Description:

The Broker-Dealer Regulatory Reporter is responsible for compiling, analyzing, and submitting accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations.

Job Responsibility:

Data Collection and Analysis: Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements
Report Generation: Prepare and submit various regulatory reports including daily, weekly, and monthly reports such as CFTC FORM 1-FR, FINRA FOCUS, and other required filings based on specific regulatory guidelines
Compliance Monitoring: Monitor trading activity for potential violations of regulatory rules and internal policies, escalating issues to compliance officers when necessary
Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly
Data Validation: Perform quality checks on data accuracy to ensure the integrity of regulatory reports
Collaboration: Work with various departments including accounting, trading, compliance, operations, and legal to gather information and address regulatory concerns
Audit Support: Assist internal and external auditors with regulatory reporting related inquiries

Requirements:

3-5 years of accounting experience, ideally in broker-dealer regulatory reporting
Deep understanding of securities markets, trading mechanisms, and relevant financial instruments
Thorough knowledge of NFA, SEC, FINRA, and other applicable securities regulations
Proficiency in data manipulation, analysis, and reporting tools to extract and interpret complex data sets
Ability to meticulously review data and reports for accuracy and completeness
Excellent written and verbal communication skills to effectively convey complex regulatory issues

Nice to have:

Series 27
Bachelor's Degree in Accounting or Finance
FINRA Series 99, required to complete within 60 days of employment

What we offer:

medical
vision
dental
life
disability insurance
401(k) plan

Additional Information:

Job Posted:

March 24, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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