Regulatory Reporting Controller II Regulatory Reporting Controller II …

Bank of America Merrill Lynch
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Competitive
Bank of America Merrill Lynch
in Charlotte, NC, United States
Permanent, Full time
Be the first to apply
Competitive
Regulatory Reporting Controller II
Job Description:

  • Enterprise Role Overview:
    Prepares legal entity regulatory reporting and calculations, performs and documents control processes for local Broker Dealers and other legal entities, prepares/reviews data submissions for regulatory reporting teams.

    U.S. Broker Dealer Regulatory Reporting Controller II -
    • Preparation of Daily and monthly 15c3-3 or 15c3-1 Capital computation.
    • Responsible for the maintenance of 15c3-3 or 15c3-1 procedures, control documentation, and spreadsheet compliance.
    • Responsible for responding to queries from Business Partners related to the daily 15c3-3 or 15c3-1 capital computation.
    • Assistance with providing support to FINRA, SEC, Internal, and public auditors
    • Working with GFCI (Offshore) team for tasks related to 15c3-3 or 15c3-1 capital

      Required Skills:
    • Bachelor's degree (or higher) (finance or accounting strongly preferred)
    • Minimum of four years of professional experience in accounting/finance
    • Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3
    • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines
    • Strong problem solving skills and analytical abilities
    • Strong communication and presentation skills
    • Ability to work well both independently and as part of a team
    • Strong attention to details
    • Advanced experience/skills with Excel and complex spreadsheets

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


Shift:
1st shift (United States of America)

Hours Per Week:
40
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