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Description

The CFO Group

Finance

Job Description:

The Chief Financial Officer (CFO) Group is responsible for the overall financial management of our company. This includes accounting, financial and regulatory reporting, balance sheet management, financial planning and analysis, treasury, investor relations, corporate investments and tax.

Global Financial Control (GFC) is responsible for managing and executing consolidated financial and legal entity reporting; interpreting and applying accounting policy and standards; overseeing financial controls and operational risk assessments; managing and maintaining financial data and systems; managing general ledger and sub-ledger accounting; and supporting tax activities. In short, our focus in GFC is to get the numbers right and to work in support of the company's goals, most importantly responsible growth.

Centralized Regulatory Reporting (CRR) is responsible for preparation, review, and submission of U.S. financial regulatory reports for the bank, broker-dealer, and certain non-bank subsidiaries and works closely with business and finance partners across the organization to gather, analyze and prepare required regulatory reports.

Job Description: Senior Regulatory Controller - Swap dealer and \ or SEC 15c3-1 reporting
  • Preparation, review and approval of daily and month end swap dealer and \ or 15c3-1 net capital calculations.
  • Responsible for the maintenance of swap dealer and \ or 15c3-1 procedures, control documentation and spreadsheet compliance.
  • Responsible for responding to queries from business partners related to the daily 15c3-1 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end swap dealer and \ or 15c3-1 schedules for FOCUS Reporting
  • Supervising offshore team for tasks related to swap dealer and \ or 15c3-1 computations
  • Assist in team development and training

Required Skills:
  • +10 years of professional experience supporting regulatory reporting
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • Strong control mindset
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong organizational, communication and presentation skills
  • Ability to work well both independently, within the team and collaboratively across the organization.
  • Strong attention to details Advanced experience/skills with Excel

Desired Skills:
  • Previous experience in the financial services industry
  • FINRA Series 99 or 27 licensed
  • CPA or equivalent a plus

We are a culture that:
• Believes in responsible growth and has a proven dedication to supporting the communities we serve.
• Provides continuous training and developmental opportunities to help people achieve their goals, whatever their background or experience.
• Believes diversity makes us stronger, so we can reflect, connect to and meet the diverse needs of our clients and customers around the world.
• Is committed to advancing our tools, technology and ways of working. We always put our clients first to meet their evolving needs.

Job Band:
H4

Shift:
1st shift (United States of America)

Hours Per Week:
40

Weekly Schedule:

Referral Bonus Amount:
0
--> Job Description:

The Chief Financial Officer (CFO) Group is responsible for the overall financial management of our company. This includes accounting, financial and regulatory reporting, balance sheet management, financial planning and analysis, treasury, investor relations, corporate investments and tax.

Global Financial Control (GFC) is responsible for managing and executing consolidated financial and legal entity reporting; interpreting and applying accounting policy and standards; overseeing financial controls and operational risk assessments; managing and maintaining financial data and systems; managing general ledger and sub-ledger accounting; and supporting tax activities. In short, our focus in GFC is to get the numbers right and to work in support of the company's goals, most importantly responsible growth.

Centralized Regulatory Reporting (CRR) is responsible for preparation, review, and submission of U.S. financial regulatory reports for the bank, broker-dealer, and certain non-bank subsidiaries and works closely with business and finance partners across the organization to gather, analyze and prepare required regulatory reports.

Job Description: Senior Regulatory Controller - Swap dealer and \ or SEC 15c3-1 reporting
  • Preparation, review and approval of daily and month end swap dealer and \ or 15c3-1 net capital calculations.
  • Responsible for the maintenance of swap dealer and \ or 15c3-1 procedures, control documentation and spreadsheet compliance.
  • Responsible for responding to queries from business partners related to the daily 15c3-1 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end swap dealer and \ or 15c3-1 schedules for FOCUS Reporting
  • Supervising offshore team for tasks related to swap dealer and \ or 15c3-1 computations
  • Assist in team development and training

Required Skills:
  • +10 years of professional experience supporting regulatory reporting
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • Strong control mindset
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong organizational, communication and presentation skills
  • Ability to work well both independently, within the team and collaboratively across the organization.
  • Strong attention to details Advanced experience/skills with Excel

Desired Skills:
  • Previous experience in the financial services industry
  • FINRA Series 99 or 27 licensed
  • CPA or equivalent a plus

We are a culture that:
• Believes in responsible growth and has a proven dedication to supporting the communities we serve.
• Provides continuous training and developmental opportunities to help people achieve their goals, whatever their background or experience.
• Believes diversity makes us stronger, so we can reflect, connect to and meet the diverse needs of our clients and customers around the world.
• Is committed to advancing our tools, technology and ways of working. We always put our clients first to meet their evolving needs.

Job Band:
H4

Shift:
1st shift (United States of America)

Hours Per Week:
40

Weekly Schedule:

Referral Bonus Amount:
0
Job Description:

The Chief Financial Officer (CFO) Group is responsible for the overall financial management of our company. This includes accounting, financial and regulatory reporting, balance sheet management, financial planning and analysis, treasury, investor relations, corporate investments and tax.

Global Financial Control (GFC) is responsible for managing and executing consolidated financial and legal entity reporting; interpreting and applying accounting policy and standards; overseeing financial controls and operational risk assessments; managing and maintaining financial data and systems; managing general ledger and sub-ledger accounting; and supporting tax activities. In short, our focus in GFC is to get the numbers right and to work in support of the company's goals, most importantly responsible growth.

Centralized Regulatory Reporting (CRR) is responsible for preparation, review, and submission of U.S. financial regulatory reports for the bank, broker-dealer, and certain non-bank subsidiaries and works closely with business and finance partners across the organization to gather, analyze and prepare required regulatory reports.

Job Description: Senior Regulatory Controller - Swap dealer and \ or SEC 15c3-1 reporting
  • Preparation, review and approval of daily and month end swap dealer and \ or 15c3-1 net capital calculations.
  • Responsible for the maintenance of swap dealer and \ or 15c3-1 procedures, control documentation and spreadsheet compliance.
  • Responsible for responding to queries from business partners related to the daily 15c3-1 computation.
  • Interacting and providing support to FINRA, SEC, CFTC, Internal, and public auditors
  • Review and preparation of month end swap dealer and \ or 15c3-1 schedules for FOCUS Reporting
  • Supervising offshore team for tasks related to swap dealer and \ or 15c3-1 computations
  • Assist in team development and training

Required Skills:
  • +10 years of professional experience supporting regulatory reporting
  • Bachelor's degree (or higher) (finance or accounting strongly preferred)
  • Strong control mindset
  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
  • Strong problem solving skills and analytical abilities
  • Strong organizational, communication and presentation skills
  • Ability to work well both independently, within the team and collaboratively across the organization.
  • Strong attention to details Advanced experience/skills with Excel

Desired Skills:
  • Previous experience in the financial services industry
  • FINRA Series 99 or 27 licensed
  • CPA or equivalent a plus

We are a culture that:
• Believes in responsible growth and has a proven dedication to supporting the communities we serve.
• Provides continuous training and developmental opportunities to help people achieve their goals, whatever their background or experience.
• Believes diversity makes us stronger, so we can reflect, connect to and meet the diverse needs of our clients and customers around the world.
• Is committed to advancing our tools, technology and ways of working. We always put our clients first to meet their evolving needs.

Shift:
1st shift (United States of America)

Hours Per Week:
40
Learn more about this role

Job Information

  • Job ID: 65081000
  • Location:
    Charlotte, North Carolina, United States
  • Company Name For Job: The CFO Group
  • Position Title: Global Financial Controls; U.S. Broker Dealer Senior Regulatory Reporting Controller (Swap dealer \ SEC 15c3-1)
  • Job Function: Accounting/Finance
  • Job Type: Full-Time
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