Senior Regulatory Reporting Specialist

Permanent contract|Jersey City|Finance

Senior Regulatory Reporting Specialist

Jersey City, United States Permanent contract Finance


  • FOCUS report – preparation, analysis, review
  • 15c3-1 Net Capital – daily and monthly preparation, analysis, review
  • 15c3-3 Customer and PAB protection formulas – preparation and analysis of weekly and monthly calculations.
  • 17H Risk Assessment Filing – quarterly preparation and analysis
  • Other FINRA Reporting  – preparation and analysis
  • Internal requests such as Leverage, Liquidity, Surveys and Ad Hoc Reporting – preparation, analysis, review
  • Extensive participation in the Regulatory, Financial, and Internal Audits
  • Ensure written procedures are updated and in compliance with requirements

Profile required

Experience Required:

  • 7+ years industry experience


  • 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
  • Adaptable; able to formulate reporting requirements for new processes
  • Excellent verbal and written communication skills
  • Working knowledge of US GAAP
  • Ability to solve problems and analyze
  • Able to meet time constraints
  • Ability to interact with staff at all levels

Technical Skills:

  • Strong Excel computer skills and ability to work with large sets of data
  • Ability to automate processes

Desired / Plus: 

  • CPA
  • Working knowledge of CFTC customer protection – Seg, Secured, CSC
  • Series 27

Educational Requirements:

  • Accounting or Finance BA/BS degree

Business insight

The Finance Department of Global Banking and Investor Solutions (GBIS), is a global organization with local presence, providing the same set of services through global and efficient processes and consistent norms, leveraging on production hubs.  Our Core Missions are: Quality and timeliness of GBIS financial statements; Assisting GBIS management and all Business Lines in their steering with actionable reports on financial performance and forecasts; Independent certification of all financial aggregates the daily P&L explanation on Market Activities; Financial communication and constant benchmarking; Providing expertise on accounting, prudential and tax norms and ensuring the compliance of these norms.

SG Americas Securities LLC  (SGAS) Broker-Dealer Regulatory Reporting Group is responsible for the local regulatory reporting (SEC, FINRA, CFTC, CME) of SGAS.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 22000OJO
Entity: SG Americas Securities
Starting date: 2022/10/17
Publication date: 2022/09/30