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The Operations Regulatory Reporting group validates, monitors, & performs regulatory reporting. The AVP role is responsible for the preparation and submission of daily and weekly and Federal Reserve reports (FR2004). This role will also take part in routine monitoring of Operations related regulatory capital charges and customer reserve requirement pertains to net capital rule (15c3-1) and US customer protection rule (15c3-3), as well as other Regulatory filings, namely: Short Interest Reporting and Portfolio Margining.
Key Responsibilities
- Assist in the preparation and submission of the US Broker Dealer (CGMI) Federal Reserve Bank Reporting that includes the following:
- Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for FED Reporting and interact with regulators as needed to provide information and responses.
- Participate in bank examinations and internal and external audits.
Perform research on changes on new regulatory reporting requirements and accounting standards and its impact to the group’s reporting.
- Maintain communication with the Business, Compliance, IT, and the Control & Reconciliation Group to ensure that regulatory reporting requirements are properly addressed on all levels of system and procedural changes, including the introduction of new financial products and transactions.
- Develop and maintain effective partnerships with all stakeholders on regulatory related issues. Manage, escalate, track issues and ensure resolution of issues that poses operational / regulatory risk to the firm.
- Analyze data for regulatory reporting obligations to US regulators, such as Short Interest and Portfolio Margining to FINRA.
Knowledge/Experience
Anticipated Posting Close Date:
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