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Financial Regulatory Compliance Manager

GREENWICH-06831, CT, US
11/11/2019

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Required Skills

Oracle Financials

Company

Infinity Consulting Solutions, Inc

Experience

5 to 7 Year(s)

Job Description

Financial Regulatory Compliance Manager

The regulatory reporting manager will have the responsibility for safeguarding customer money and for ensuring compliance with net capital, for our US registered broker-dealer and FCM.

The position offers an opportunity for significant growth.

It will suit an intellectually curious person who is keen to learn about regulatory work at an international and technologically advanced broker.

In time, and with the training to be provided as part of the role, the manager will expand to other jurisdictions.

Responsibilities

Daily securities and commodities customer protection computations in the US and equivalent computations around the world.

Review of regulatory filings.

Keep track of new rules and requirements.

Research regulatory impact of new business initiatives.

Participate in regulatory examinations relating to financial matters.

Learn new regulatory jurisdictions and interplay of regulatory rules between jurisdictions.

Supervise and develop staff.

Continue to improve automation for all aspects of regulatory reporting.

Further document and improve regulatory controls and procedures.

Qualification

+5 years regulatory reporting experience (15c3-3, 15c3-1, 1.20, 30.7, FOCUS, etc.).

Ability to evaluate current procedures and design and implement changes in order to streamline
operations, while ensuring sufficient checks and balances.

Prior experience in highly automated environment and ability to specify programming requirements is a plus.

Bachelors or higher degree.

Experience in accounting is a plus.

Interest in and ability to learn regulatory rules in new jurisdictions.

Other Specific Skills & Knowledge

Prior experience with handling regulatory audits.

Ability to work independently in a fast-paced and high-volume environment with emphasis on accuracy and timeliness.

Experience with Oracle Financials is a plus.

Prior experience in automation of operational tasks is a strong plus.