Senior Regulatory Reporting Analyst
$86,360–$101,600 year
Hybrid · Charlotte, North Carolina, United States or St. Louis, Missouri, United States
Job Summary
Senior Regulatory Reporting Analyst (Broker Dealer) responsible for end-to-end regulatory filings for registered broker-dealer entities, including preparation of FOCUS reports and SEC Rule 15c3-1 (Net Capital) and Rule 15c3-3 (Customer Protection/Reserve Formula). Maintain controls, narratives, desk procedures, and documentation; coordinate responses to FINRA and SEC exams; perform root‐cause analysis and lead remediation; drive automation, standardization, and data lineage improvements; partner with the business line to ensure filings are accurate, timely, and defensible. Hybrid schedule with in-office expectations of 3+ days per week. Strong knowledge of SEC/FINRA regulations and experience with multiple BD entities or complex BD structures; CPA or equivalent certification preferred.
Required Qualifications
- Bachelor's degree in accounting or finance, or equivalent work experience
- Five to eight years of experience in financial accounting activities
- Direct experience with FOCUS filings, net capital computations, and reserve formula calculations
- Prior interaction with FINRA or SEC examiners
- Experience supporting multiple broker-dealer legal entities or complex BD structures
- 2–4+ years of experience in broker-dealer regulatory reporting, product control, financial control, or public accounting (financial services)
- Strong working knowledge of SEC and FINRA broker-dealer regulations
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