Broker Dealer Senior Regulatory Reporting Specialist

• Prepare and file the monthly FOCUS report with various Regulators. Must be in a position to become a key contributor with the FOCUS Report preparation process from start to finish including analysis, review and presentation of FOCUS results.
• 15c3-1 Net Capital – Assist in the daily and monthly preparation, analysis, review.
• 15c3-3 Customer and PAB protection formulas – Assist in the compilation of Customer & PAB reserve computation. Present and communicate the results to Regulatory management and the CFO.
• 17H Risk Assessment Filing – quarterly preparation and analysis.
• 17a-5 compliance including preparation/review of procedures and controls.
• Proactively identify control weaknesses as well as areas for improvement and automation in order to reduce operational risks and enhance the control environment.
• Prepare and/or review supplemental reporting schedules such as SSOI, Form Custody, OBS, and SLS.
• Be a key contact for various regulatory exams and audits, both external and internal. Provide requested support and documentation.
• FBAR Filing – annual preparation and analysis.
• Ad Hoc Reporting – preparation, analysis & review.
• Review and assist in the preparation of the FRY -15 FRB report.
• Other FINRA Reporting – preparation and analysis.

DIVISION DESCRIPTION: 
The Finance Department of Global Banking and Investor Solutions (GBIS) is a global organization with a local presence. Our core mission in the Americas involves delivering sound financial reports, supporting Business Units, Service Units and General Management with financial and strategic steering, effectively scrutinize business plans, and offering good advice on the efficient use of our capital, liquidity, and funding resources. The Finance Department performs independent certification of all financial aggregates and creates the daily P&L explanation on market activities. In addition, our robust teams also oversee and execute cross-business projects in the financial and regulatory areas of the industry by providing expertise on accounting, prudential and tax norms while ensuring compliance.

SKILLS AND QUALIFICATIONS:

• Knowledge of broker dealer accounting and finance
• Knowledge of broker dealer operations
• Adaptable; able to formulate reporting requirements for new processes
• Requires working knowledge of SEA Rule 15c3-3 for customer and PAB
• Requires working knowledge of SEA Rule 15c3-1 net capital computation
• Willingness to learn and perform detail level analysis
• Excellent verbal and written communication skills
• Working knowledge of US GAAP
• Ability to solve problems and analyze

Technical Skills:

• Strong Excel computer skills and ability to work with large sets of data
• Exposure to Data Tools – such as Alteryx
• Ability to automate processes 

Experience:

• Series 27 or Series 99 License
• Excellent knowledge of SEA rules 15c3-1 and 15c3-3
• 7-10 years US Broker Dealer Regulatory reporting experience

Education:

• Bachelor’s degree in Finance, Accounting, or related field required
• Advanced degree a plus

Societe Generale is committed to offering an inclusive recruitment experience to all candidates. If you require any reasonable accommodations during the recruitment process, please do not hesitate to let our Recruiters know.

OUR CULTURE: 
At Societe Generale, we live by our 4 core values of commitment, responsibility, team spirit and innovation. We are engaged and demonstrate consideration for others. We act ethically and with courage. We focus our talent and energy on collective success. We experiment and propose new ideas. This way, we maximize our ability to serve client needs and anticipate market changes. Societe Generale is committed to strengthening bonds with colleagues, communities, and the world in which we live, because relationships are at the heart of how we operate. For more information about our Culture and Conduct initiatives, please visit this link (https://americas.societegenerale.com/en/careers/get-know-culture/)

D&I: 
Our Diversity & Inclusion Mission: Recruit, develop, advance, and retain a diverse workforce that is united in our efforts to enhance our competitive position and deliver innovative solutions to our clients.
Our Diversity & Inclusion Vision:

• Engaged workforce that is demographically diverse in a way that reflects the communities in which we operate
• Inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents
• Engage our community and marketplace, and position the organization to meet the needs of all its clients

For more information about our D&I initiatives, please visit this link (https://americas.societegenerale.com/en/societe-generale-about/diversity-and-inclusion/)

HYBRID WORK ENVIRONMENT:
Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, in order to promote interaction and collaboration with colleagues while adhering to all SG standard protocols.  Hybrid work arrangements vary based on business area.  The applicable business lines will determine and communicate the work arrangements that best meet their business needs.

COMPENSATION:
Base salary range does not include overtime pay, bonus and/or other benefits, where applicable. Actual base salary offer will vary based on skills and experience. The role is eligible for an annual discretionary bonus and includes a competitive benefits package including 401(k) plan with company match, medical/dental/vision, and other benefits for fertility, wellness, student loans and commuters.