VP of Broker Dealer Regulatory Reporting (15c3-1)

  • Negotiable
  • Manhattan, NY, États-Unis Manhattan NY US
  • CDI, Plein-temps
  • Michael Page International - US
  • 12 août 18 2018-08-12

Our client is looking for an experienced Broker Dealer Regulatory Reporting candidate that has been in the details in the 15c3-1 Net Capital Reporting Process.

Our client is an established brokerage firm that is at the top of its industry.


  • Perform the weekly and month end analysis of the Customer Reserve Formula (S.E.C. Rule 15C3-1) and make all pertinent adjustments to properly reflect the Reserve Requirement and corresponding Balance Sheet accounts
  • Manage all aspects of a subsidiary broker dealer's FOCUS reporting
  • Successfully automate the entire Reserve Formula process into a Web based application eliminating an extremely manual process.
  • Partnered directly with IT programmers on a daily basis to build the respective logic and thoroughly test this new process from end to end.
  • Built additional automated reports and Excel based downloads beyond the core functionality to further enhance the data output which will support month end Balance Sheet, Income Statement, Net Capital and Management reporting


  • Brokerage experience (Broker Dealer)
  • Reporting the 15c3-1 in a manual environment (Excel)
  • Strong Excel skills, pivot tables, vlookup, and macros

Job Offer

Competitive compensation above market