Peak6group

Peak6group

Regulatory Reporting Analyst

Chicago, IL

Sponsorship not specified$57k-$72kDetected 20 days ago
ComplianceAccountingExcelProcess ImprovementCommunicationProblem SolvingPublic SpeakingNetSuite

About the role

  • Apex Finance is seeking a detail-oriented and analytical Regulatory Reporting Analyst to join our dynamic team.
  • This role is crucial for maintaining the firm's regulatory compliance by managing complex reporting tasks, analyzing financial data, and ensuring accuracy in all regulatory filings.

Responsibilities

  • SEC Reporting: Lead the preparation of the firm's FOCUS report in compliance with Rule 15c3-1, which includes crafting the regulatory balance sheet and related schedules.
  • Futures Industry Reporting: Manage daily and monthly regulatory reporting responsibilities for the futures business, focusing on compliance and process improvement.
  • Capital Charges Calculations: Prepare monthly capital charges, including detailed analysis of haircuts, margin calls, and fails to deliver/receive to determine net capital accurately.
  • Accounting Support: Assist with the monthly accounting close specifically related to regulatory reporting needs and maintain accurate reconciliations of balance sheet accounts.
  • Process Optimization: Continuously seek out and implement more efficient and impactful methods for regulatory reporting tasks, while upholding high standards of accuracy and compliance.
  • Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all.
  • When you're at Apex, you drive this change.
  • Manage daily and monthly regulatory reporting responsibilities for the futures business, focusing on compliance and process improvement.
  • Prepare monthly capital charges, including detailed analysis of haircuts, margin calls, and fails to deliver/receive to determine net capital accurately.
  • Assist with the monthly accounting close specifically related to regulatory reporting needs and maintain accurate reconciliations of balance sheet accounts.

Requirements

  • Ensure that the firm adheres to securities laws and regulations such as Rule 15c3-3 regarding customer protection by continually applying and updating knowledge of these rules.
  • Actively participate in the calculation of the weekly 15c3-3 reserve computation, resolving issues and reconciling accounts as required.
  • Bachelor's degree in Accounting, Finance, or a related field
  • 2 years of general accounting experience, with a strong preference for candidates who have experience in broker-dealer accounting and operations.
  • Familiarity with SEC Rule 15c3-1, Rule 15c3-3, and other relevant financial regulatory frameworks.
  • Prior experience with futures industry regulatory reporting.
  • Reserve Calculations and Reporting: Actively participate in the calculation of the weekly 15c3-3 reserve computation, resolving issues and reconciling accounts as required.

Nice to have

  • Regulatory Knowledge: Familiarity with SEC Rule 15c3-1, Rule 15c3-3, and other relevant financial regulatory frameworks.
  • Industry-Specific Experience: Prior experience with futures industry regulatory reporting.
  • Certifications: Series 27, 7, or 99 certifications are beneficial.
  • Technical Skills: Proficiency in NetSuite and advanced Excel capabilities are highly valued.
  • Knowledge, Skills, and Abilities: Analytical Abilities: Exceptional analytical and problem-solving skills to accurately handle complex data and reporting tasks.
  • ​ Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job.

Skills

  • Proficiency in NetSuite and advanced Excel capabilities are highly valued.
  • Attention to Detail: High level of accuracy and attention to detail in all aspects of work.
  • Duties, responsibilities, and activities may change at any time with or without notice.
  • Salary Range
  • $57,456-$71,820
  • The annual base salary range for this position is noted above.
  • Exact compensation offered may vary depending on job-related knowledge, skills, experience, and office location.
  • EEO Statement
  • Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.
  • Disability Statement
  • Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities.
  • Exceptional analytical and problem-solving skills to accurately handle complex data and reporting tasks.

Compensation

  • $57,456-$71,820
  • The annual base salary range for this position is noted above. Exact compensation offered may vary depending on job-related knowledge, skills, experience, and office location.

Benefits

  • We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match.
  • We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits.

Company info

  • Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others
  • collectively, Apex powers access to the stock market for over 22+ million end customers.
  • At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest.
  • When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.
  • Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.
  • At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy.
  • We're digitizing and democratizing systems so that everyone has an opportunity to invest.
  • You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy.
  • Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.
  • Together, we're shaping the future of financial innovation.
  • Embrace change.
  • Win together.

Equal opportunity

  • If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form.
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