Job Description

"Total Experience- 8-10 years

Role Description:

Regulatory Reporting: Prepare and validate reports for Dash RRR, Customer Reserve, and 15c3-3 compliance. Ensure timely and accurate submission to regulators and internal stakeholders.

Requirement Gathering: Collaborate with Finance, Compliance, and Operations teams to capture reporting needs and translate them into technical specifications.

Data Analysis & Validation: Analyze large datasets to ensure accuracy of reserve calculations and regulatory filings. Perform reconciliations and variance analysis for broker-dealer accounts.

SQL Development: Develop and optimize SQL queries for data extraction, transformation, and validation of regulatory reports.

UAT Execution: Design and execute UAT plans for new or enhanced reporting processes, ensuring compliance with SEC and FINRA guidelines.

Documentation & Audit Support: Maintain detailed documentation of processes, requirements, and test results for audit and compliance reviews.

Stakeholder Engagement: Act as a liaison between business and technology teams to ensure accurate and timely delivery of reports.

Required Skill Sets:

Technical Skills: Advanced SQL skills (complex queries, joins, performance tuning). Strong data analysis and reconciliation experience.

Domain Knowledge: In-depth understanding of US Broker-Dealer Regulatory Reporting, including Dash RRR, Customer Reserve, and SEC Rule 15c3-3.

Soft Skills: Excellent communication and stakeholder management skills. Ability to work independently and manage multiple priorities under tight deadlines.

Experience: 3 5 years in regulatory reporting or broker-dealer operations. Prior experience in UAT and requirement gathering.

Desired Skill Sets:

Familiarity with ETL processes, data warehousing, and reporting tools (e.g., Tableau, Power BI).

Knowledge of FINRA and SEC compliance frameworks.

Exposure to Dash RRR automation and reserve calculation systems.

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