SEC Broker-Dealer Regulatory Reporting Manager - Vice President SEC Broker-Dealer Regulatory Reporting Manager -  …

Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
Deutsche Bank
in Jacksonville, FL, United States
Permanent, Full time
Be the first to apply
SEC Broker-Dealer Regulatory Reporting Manager - Vice President
Position Overview

Job Title: SEC Broker-Dealer Regulatory Reporting Manager

Corporate Title: Vice President

Location: Jacksonville, FL

Your responsibilities include preparation, review, and submission of timely and accurate regulatory reports to the Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), the US Commodities Futures Trading Commission (CFTC), and the Chicago Mercantile Exchange & Chicago Board of Trade (CME Group). You will have adequate experience in broker-dealer SEA 15c3-1 Net Capital calculations and SEA 15c3-3 Customer Reserve Computations, good understanding of broker-dealer securities operations, a deep understanding of regulatory reporting instructions & broker-dealer regulations, trend analysis preparation/movements, end-to-end regulatory report production life-cycle, and preparation of written communication to management and to our regulators in a clear, concise, and useful manner.

What We Offer You:
  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • On-site gym, cafeteria, health center, and communal meeting areas
  • Active engagement with the local community through Deutsche Bank's specialized employee groups
  • An environment that encourages networking and collaboration across functions and businesses

Hear from our people and look inside our office: DB@The Muse

Your Key Responsibilities:
  • Lead preparation, review, and submission of regulatory report filings with the regulatory bodies such as the SEC Financial and Operational Combined Uniform Single Reports (FOCUS Report), the FINRA Supplemental Inventory Schedule (SIS), the FINRA Supplemental Statement of Income (SSOI), and Treasury International Capital (TIC) reports
  • Prepare and review Net Capital Calculations in accordance with SEA rule 15c3-1, and preparation of Daily Estimated Excess Net Capital calculations
  • Develop, execute, and document review of key processes in accordance with Internal Control over Compliance SEA Rule 17a-5, and review of the SEA 17a-5 Audited Financial Statements of a broker-dealer
  • Ability to analyze impact of, develop positions toward, and comment on proposed and final regulatory rules
  • Ability to prepare/present quarterly analytics and variance analyses for due diligence with senior management and functional partners
  • Assist in the development and implementation of Regulatory Report tools, report preparation and corresponding controls processes if it is required, and liaise with various internal (i.e. Regulatory Relations, Legal, Compliance, Audit, Finance Project Office and Business Operations) and external constituencies (i.e. regulators, external auditors and consultants)

Your Skills and Experience:
  • Bachelor's degree in Finance or Accounting is required, CPA or MBA with a Series 27 Financial and Operations Principle License is desired
  • Knowledge of the regulatory reporting tools (e.g., Axiom), general ledgers (e.g., SAP) offered products and its related activities is a plus, and familiarity with broker-dealer audited financial statements
  • Public accounting firm experience with financial institution clients is a plus; audit experience is a plus
  • Previous relevant SEC Broker-dealer regulatory reporting experience at a Global Investment Bank and knowledge of accounting requirements
  • In-depth understanding of SEC, FINRA, and CFTC regulatory reporting rules and regulations, particularly the SEC FOCUS Report, and must have experience preparing SEC 15c3-1 Net Capital Calculations and knowledge of the SEC 15c3-3 Customer Reserve Computation, and knowledge of FBO and ICH Regulatory Requirements

Our values define the working environment we strive to create - diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.
We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

Click here to find out more about diversity and inclusion.

We are an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the following notices: \"EEO is the Law poster\" and supplement ; Employee Rights and Responsibilities under the Family and Medical Leave Act; Employee Polygraph Protection Act and Pay Transparency Nondiscrimination Provision.

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