Job Description

Senior Regulatory Reporting Controller
Job Number: 22-00110
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!
Position Overview:
  • Review and advise on periodic regulatory calculations and control processes for locally regulated entities including broker dealers, swap dealers and other legal entities.
  • Reviews/approves data submissions for regulatory reporting teams.
  • Interpret and advise on new rules and regulations impacting locally regulated entities.
  • Senior Regulatory Controller 15c3-3 role Vice President / Assistant Vice President (Based on Experience)
  • Preparation, review and signing off on Daily and monthly 15c3-3 Reserve Formula computation.
  • Responsible for the maintenance of 15c3-3 reserve procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-3 computation.
  • Interacting and providing support to Client, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end 15c3-3 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-3 Reserve Formula computation
  • Help provide guidance and training for team members
Required Skills:
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • 8-10 years of relevant professional regulatory experience in accounting/finance
  • 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 Excel and complex spreadsheets
Desired Skills:
  • Previous experience in the financial services industry
  • Strong technical, communication and analytical skills
  • Client Series 99 or 27
  • CPA or equivalent a plus
If interested, you may contact:
Tony Clariza
Tony Clariza | 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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