Related skills
excel u.s. gaap focus sec 15c3-3 sec 15c3-1📋 Description
- Prepare, review, and submit key regulatory filings (FOCUS, SEC 15c3-3).
- Reconcile cash balances and SEA Rule 15c3-3 bank activity.
- Assist audits and regulatory examinations with supporting docs.
- Analyze financial data and present results to finance team.
- Maintain internal controls and support control enhancements.
🎯 Requirements
- Bachelor's degree in accounting or finance; CPA or advanced degree a plus.
- Regulatory/regulatory reporting experience in financial services.
- Broker-dealer regulatory knowledge: SEC Rules 15c3-1/15c3-3 and FINRA.
- Proficiency in U.S. GAAP and strong data analysis with Excel.
- Strong attention to detail and communication; ability to work independently.
- FINRA Series 27 or 28 preferred but not required.
🎁 Benefits
- Medical, dental, and vision insurance
- Mental health resources
- Paid time off with holidays (varies by country)
- Paid parental leave
- Education stipend for continued learning
- Wellness reimbursement
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