Associate, Regulatory Reporting

A diversified financial services firm is seeking an experienced professional to join its Regulatory Reporting function within Finance. This role is responsible for ensuring compliance with U.S. broker-dealer financial responsibility rules and regulatory filing requirements. The position reports directly to senior leadership within the Regulatory Reporting team.Key ResponsibilitiesPrepare and review calculations related to customer and PAB reserve requirements on both a weekly and monthly basis.Perform and validate daily and monthly net capital computations in accordance with applicable SEC regulations.Coordinate the preparation and submission of periodic FOCUS reports.Prepare and review required supplemental regulatory schedules, including liquidity, inventory, off-balance sheet exposure, income statement, custody-related filings, and annual regulatory schedules.Maintain and enhance documentation supporting internal controls over financial responsibility rule compliance.Ensure policies and procedures remain current with regulatory requirements and operational practices.Partner with internal audit, external auditors, and regulatory examiners during routine audits and examinations.Assess the regulatory capital and reserve impact of new products, business initiatives, and structural changes.Support special projects and cross-functional regulatory initiatives as needed.QualificationsMinimum 5+ years of experience in broker-dealer regulatory reporting with direct exposure to:Net Capital Rule (SEC Rule 15c3-1)Customer Protection Rule (SEC Rule 15c3-3)FOCUS reporting (SEC Rule 17a-5)Strong understanding of U.S. broker-dealer Financial Responsibility Rules, including possession and control requirements.Client Series 27 license required (or ability to obtain shortly after hire).Bachelor's degree in Accounting, Finance, or related discipline (or equivalent industry experience).Advanced proficiency in Excel; strong familiarity with Microsoft Office and financial reporting systems.Strong analytical, research, and written/verbal communication skills.