VP Regulatory Reporting
| Company: | Ashton Lane Group, Inc |
| Posted: | May-20-2010 |
| Location: | New York, New York |
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Description
Experienced accountant supporting the Regulatory Reporting team of a global investment bank.
Responsibilities:
- Responsible for financial and other periodic reporting submissions to various broker-dealer and banking supervisory authorities in the US.
- Perform capital computations for the SEC, FINRA, CFTC, FED and FSA. Including 15c3-1(3) daily (weekly) reporting and monthly FOCUS reports
- Principal interface between the investment bank with respect to financial responsibility rules (e.g., the SEC Net Capital Rule and Customer Protection Rule, Basel I)
- Manages supervisory examinations relating to financial/operational matters
- Analyzes new products and specific transactions for financial regulatory control adherence and capital impact
- Provides interpretive guidance on financial regulatory matters to business units within the firm
- Monitor and maintain the compliance with internal and external regulatory limits and thresholds.
- Interface with Operations, Product Control, Compliance, Legal and Head Office.
Requirements:
- 7-12 years industry experience within Financial Control / Regulatory Reporting
- Strong understanding of reporting requirements within US Broker/Dealer environment
- IFRS accounting knowledge
- Strong local regulatory reporting experience (SEC, FINRA, FRBNY).
- Experience with Interfacing with external auditors & regulators
- Bachelors degree Accounting/finance. CPA preferred
For immediate consideration, please forward resume and contact details to: info
ashtonlanegroup.com
ashtonlanegroup.comAshton Lane Group is a boutique executive recruitment firm serving the Banking, Insurance, and Alternative Investment sectors. For the latest opportunities, visitwww.AshtonLaneGroup.com
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