Job Profile: Director – Alternative Net Capital Reporting
Date:
1/15/2010
Location:
New York, New York, United States
Sector(s):
Finance & Accounting
Client:
Investment Bank
Reference #:
W4200
Senior position managing the regulatory reporting for a global broker/dealer
Responsibilities:
- Maintaining and running the Market Risk and Credit reconciliations, responsible for identifying, summarizing differences, liaising with Market Risk, Credit Risk and Finance teams to resolve differences, following through with the implications of these differences on the regulatory capital computations
- Liaising with Market and Credit Risk Mgmt to analyze the ANC (Alternative Net Capital) computations and reports, and developing additional reports as necessary for analysis purposes
- The ANC team provides additional support to the Reporting Production and Policy teams through:
- Reviewing the ANC portion of regulatory reports prior to filings
- Advising on procedural implementation of ANC rule guidance's
- Managing integration matters with Market and Credit Risk Mgmt
- Documenting ANC methodology and policies/procedures
- Administrating and maintaining the CCNET application, which is a centralized workflow repository that holds filing submissions and online document approvals.
Requirements:
- 10+ years regulatory reporting within a broker/dealer
- Previous experience in analyzing ANC net capital rule regulatory computation
- Broad knowledge of 15c3-1 / 15c3-3. Requisite capital computations for the SEC, FINRA, CFTC, FED and FSA
- Supervisory examinations relating to financial/operational matters
- Previous experience in preparing FOCUS schedules
- Liaising with regulators
- Strong leadership experience
- Bachelor's degree. MBA preferred.
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