Phaxis
Senior Regulatory Reporting Accountant
Phaxis - New York, New York, us, 10261
Work at Phaxis
Overview
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Overview
The Senior Regulatory Accountant is responsible for ensuring compliance with regulatory capital and customer protection rules related to the firm's broker-dealer and customer clearing business. This role requires a deep understanding of SEC, Client, NFA, CFTC, and exchange regulations to maintain compliance and support key financial reporting functions.
Key Responsibilities:
Customer and PAB Reserve Calculations (15c3-3): Perform daily and weekly customer and PAB reserve calculations. Monitor and validate source system reports to ensure data accuracy and integrity. Regulatory Capital Calculations & Reporting (15c3-1): Prepare daily, monthly, and quarterly regulatory capital reports, including FOCUS, SLS, and OBS filings. Process daily files from sub-ledger systems (Client) and investigate variances. Ensure compliance with regulatory requirements from SEC, Client, NFA, CFTC, and other exchanges. Qualifications & Experience:
10+ years of experience in regulatory reporting for a clearing broker-dealer. Strong knowledge of SEC 15c3-1 (net capital rule) and 15c3-3 (customer protection rule). Client Series 99 required, Series 27 strongly preferred. Seniority level
Mid-Senior level Employment type
Full-time Job function
Accounting/Auditing
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Customer and PAB Reserve Calculations (15c3-3): Perform daily and weekly customer and PAB reserve calculations. Monitor and validate source system reports to ensure data accuracy and integrity. Regulatory Capital Calculations & Reporting (15c3-1): Prepare daily, monthly, and quarterly regulatory capital reports, including FOCUS, SLS, and OBS filings. Process daily files from sub-ledger systems (Client) and investigate variances. Ensure compliance with regulatory requirements from SEC, Client, NFA, CFTC, and other exchanges. Qualifications & Experience:
10+ years of experience in regulatory reporting for a clearing broker-dealer. Strong knowledge of SEC 15c3-1 (net capital rule) and 15c3-3 (customer protection rule). Client Series 99 required, Series 27 strongly preferred. Seniority level
Mid-Senior level Employment type
Full-time Job function
Accounting/Auditing
#J-18808-Ljbffr