VP, Regulatory Controllers at Jefferies Financial Group in Freehold, NJ

Description

Background:

The candidate should have experience (5 to 7 years) in broker-dealer regulatory reporting with specific knowledge of the customer and PAB reserve formula computations as well as possession and control requirements (SEC Rule 15c3-3). In addition, knowledge of the related capital requirements of the net capital calculation under SEC Rule 15c3-1 is also required. Knowledge of the Federal Reserve Bank Primary Dealer reporting and FOCUS Report compilation would be helpful as well as experience in broker-dealer securities operations. Computer skills in Excel are required and knowledge of Broadridge and Peoplesoft vendor packages would be a plus.

Qualifications

Responsibilities:

Job responsibilities would include all aspects of regulatory reporting including the following:

Preparing the weekly and monthly customer and PAB reserve formula calculations

Calculating aspects of the daily and monthly net capital calculations

Primary dealer reporting (FRB Form 2004) and TIC reporting

Analyzing month end customer and fail adjustments during the close process

Compiling aspects of the FOCUS Report for transmission to regulators

Completing working papers supporting the components of the net capital and reserve formula calculations

Compiling monthly and quarterly supplemental reports for transmission to FINRA including Form Custody

Interacting with regulators and auditors during audits

Evaluating new business proposals from regulatory capital and reserve formula perspectives

Designing system enhancements for daily, weekly and monthly reporting

Primary Location: US-NJ-Jersey City

Job: Controllers/Finance

Organization: Corporate

Schedule: Full-time

Employee Status: Regular

Job Level: Non-Management

Job Posting: Feb 12, 2021, 10:14:23 AM