Senior Regulatory Reporting Specialist (VP)

Permanent contract|Jersey City|Finance

Senior Regulatory Reporting Specialist (VP)

  • Jersey City, United States
  • Permanent contract
  • Finance


Base Salary Range: $104,000 - $192,000
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.

  • 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:

  • 5+ 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

Why join us

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.

Business insight


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.


Our D&I 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 D&I Vision: An engaged workforce that is demographically diverse in a way that reflects the communities in which we operate. An inclusive culture and workplace that recognizes employees' unique needs and utilizes their diverse talents. To 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:


Societe Generale offers a hybrid work arrangement that offers employees the flexibility to work remotely, as well as on-site, 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.

Societe Generale is an equal opportunity employer, and we are proud to make diversity a strength for our company. We are committed to recognizing and promoting the talents and achievements of our employees and staff, regardless of race, religion, color, national origin, sex, disability, age, gender, sexual orientation, and any other characteristic or status protected under applicable law.

Reference: 22000OJO
Entity: SG Americas Securities
Starting date: immediate
Publication date: 2023/05/03