SEC Regulatory Reporting Analyst
The US Regulatory Reporting team within the LE Finance IHC & Other Americas Entities is seeking an Assistant Vice President to be based in our New York office. The team is responsible for filing the SEC reports for 4 US registered broker-dealers. The purpose of this position is to be responsible for the timely and accurate filing of the SEC/FINRA/CME reporting requirements for CS's US broker/dealers.
- Prepare the selected sections of monthly FOCUS report, including performance of necessary analysis of the reportable data and working with the various groups (PC, LECs, Operations) in resolving reporting issues.
- Prepare the daily net capital.
- Prepare the FINRA monthly supplemental schedules, including supplemental Inventory report, inventory leveling report, off-balance sheet report, and supplemental statement of income.
- Arrange the selected sections of the weekly and monthly Customer and PAB reserve calculation.
- Update and test firm's controls around regulatory reporting so that the firm can demonstrate compliance with new SEC 17a-5a amendments.
- Produce responses to the Regulators' questions on the filings as well as assisting the annual Regulatory examinations (FINRA & CME), and
- Work on related special projects/analysis that may be required.
Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook. You Offer
- You have a Bachelor's degree in Accounting
- A CPA is preferred
- You possess experience in the SEC regulatory reporting (specifically in 15c3-1 Net Capital Rule and 15c3-3 Customer Reserve Formula).
- You bring 5 years of experience in financial accounting in financial services (Big 4 experience is an advantage).
- Can you show an analytical / problem solving mind-set?
- Are you able to collaborate globally and across departments and work together in a team environment?
- Do you have a strong controls mindset and a proactive, hands-on working style?
- You have attention to detail as it's needed to be successful in the role.
- You demonstrate excellent verbal and written communication skills.