Product Control Associate

New York, NY

Posted: 11/08/2019 Industry: FIN Perm Job Number: 12864683

Job Description

In a hands-on role and reporting to the CFO, this person would work together with our finance/accounting team and prepare the net capital calculations and the FOCUS report and associated monthly and quarterly Client and SEC reports. Person will also assist heavily with the month end reconciliations and other finance related requests in connection with closing the books. This includes month and quarter end requests from management. In addition, this person will play an integral role in assisting with computing certain haircuts and other net capital charges daily. Person will also be responsible to prepare the weekly Customer and PAB Reserve computations.
Required Skills:
" Bachelor's degree (or higher) in accounting
" 2+ years progressive experience in a regulatory reporting related role either at a clearing broker-dealer, or as a financial auditor/regulatory examiner of clearing broker-dealers.
" Proficient with the 15c3-1 net capital and 15c3-3 reserve computations.
" Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines.
" Strong problem-solving skills and analytical abilities.
" Ability to work well both independently and as part of a team.
" Strong attention to detail.
" Advanced experience/skills with Excel and complex spreadsheets.
" Series 27 a plus, but not required.
" CPA a plus, but not required.
Responsibilities include:
" Preparation of daily and monthly 15c3-1 Capital computation and the weekly and monthly 15c3-3 reserve computations.
" Responsible for responding to requests from management, independent accountants and or regulatory bodies related to financial matters and regulatory computations

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Nick LaPetina

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