Director Accounting Financial Reporting

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The Finance Director will be expected to take a more active role in the completion of tasks and management of processes. He/she should be able to manage processes with decreased supervision and proactively solve problems.

What You'll be Doing:

• Preparation of Weekly 15c3-3 customer reserve computation, monthly Focus Report, quarterly SEC Form 17H, semi-annual SIPC-6 and annual SIPC-7 regulatory reports for prompt submission to the appropriate designated self-regulatory authority or governmental agencies.
• Preparation of the monthly FINRA Form R1 (Customer Margin Report), margin deficit charges, unsecured and partly secured customer debits.
• Preparation of Weekly Net Capital Calculation and Portfolio Margin Calculation
• Maintaining Underwriting Commitments and assessing required regulatory capital charges.
• Utilize Dash FIH, RBH, RRR, SBL and SALLIE systems to perform risk assessment on securities trading and financing activities.
• Utilize FIS’s ALDOP system to perform risk assessment on securities lending activities with agents.
• Researching the impact of new accounting proposals by FASB/PCAOB on the registered broker dealer’s regulatory and financial reporting requirements
• Researching the impact of new regulatory reporting proposals by FINRA/SEC/NFA on the registered broker dealer’s regulatory and financial reporting requirements
• Perform analytics on data to be reported/submitted and interact with various business finance controllers, front office, middle office, risk management and operations to sensibly explain variances between reporting periods.
• Respond/resolve promptly queries/issues raised by the regulators, external auditors, internal auditors, and Head Office.
• Regular review of FINRA Regulatory notices and changes to their reports
• Regular review of CME and NFA Regulatory notices and changes to their reports
• Coordinate/interact with other groups to maintain structures and mapping rules supporting US regulatory and statutory reporting (i.e., US Prime Brokerage).
• Coordinating/interacting with Finance Technology Projects for new regulatory system development (i.e., US Prime Brokerage)
• Support US Region business and technology initiatives (i.e., US Prime Brokerage, Synthetic Prime Brokerage, Portfolio Margining, and Convertible Bond Trading)

Who You Are:

• Identify opportunities to enhance data generation and reporting processes for more efficient and accurate US regulatory and financial reporting (i.e., US Prime Brokerage and Convertible Bond Trading).
• Review/monitor various transfer pricing activities for US entities including proper accounting of cost/recoveries and settlements (i.e., US Prime Brokerage)
• Maintaining reg