Job Description

Senior Regulatory Reporting Controller
JobDiva # 19-02818

Grab the opportunity to achieve your full potential! Eclaro is looking for a Senior Regulatory Reporting Controller for our client in Charlotte, NC.

Eclaro’s client is one of the world's largest financial institutions, committed to providing the tools and services that bridge the gap between customers and their goals. If you’re up to the challenge, then take a chance at this rewarding opportunity!
  • Review, challenge and streamline daily, monthly and quarterly regulatory reports, calculations and control processes for locally regulated Broker Dealer entities
  • Preparation, review and signing off on daily and monthly 15c3-1 or 15c3-3 regulatory computations
  • Responsible for the maintenance of 15c3-1 and 15c3-3 procedures, control documentation, and spreadsheet compliance
  • Responsible for responding to queries from business partners related to the daily 15c3-1 and 15c3-3 computations
  • Interacting and providing support to Client, SEC, internal, and public auditors
  • Review and preparation of month end 15c3-1 and 15c3-3 schedules for FOCUS Reporting
  • Supervising local and GFCI (Offshore) team for tasks related to 15c3-1 and 15c3-3
  • Provide guidance, mentorship and training to team members

  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • Over 10 years of professional experience in regulatory reporting roles supporting SEC 15c3-1 and 15c3-3 requirements

  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong communication and presentation skills
  • Ability to work well both independently and as part of a team
  • Strong attention to details
  • Advanced experience/skills with systems, Excel and complex spreadsheets
Required Experience:
  • CPA or equivalent
  • Client licensed series 27
  • Prior managerial \ controllership roles supporting 15c3-1 and 15c3-3
  • Streamlining or process improvements
  • Six Sigma training
If interested, you may contact:
Adrian Miranda
Adrian Miranda | LinkedIn

Equal Opportunity Employer: Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

Application Instructions

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