Job Description

U.S. Broker Dealer Senior Regulatory Reporting Controller
Job Number: 22-00110
 
Grab the opportunity to achieve your full potential! Eclaro is looking for a U.S. Broker Dealer 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:
  • Preparation, review and signing off on Daily and monthly 15c3-1 Capital computation.
  • Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.
  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.
  • Interacting and providing support to Client, SEC, Internal, and public auditors
  • Review and preparation of month end 15c3-1 schedules for FOCUS Reporting
  • Supervising GFCI (Offshore) team for tasks related to 15c3-1 capital
  • Help provide guidance and training for team members
 
Required Skills:
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • 10+ years of professional experience supporting broker dealer regulatory reporting (15c3-1 and 15c3-3)
  • 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
  • Series 27 license or Ops 99 license
  • CPA or equivalent a plus
 
If interested, you may contact:
Chris Viemeister
Chris.Viemeister@eclaro.com
(332) 209-4561
https://www.linkedin.com/in/cviemeister2049/
 
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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