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VP, Regulatory Controllers

Jersey City, NJ, USA | Jefferies & Company

  • Industry:
    Banking / Investment Banking
  • Position Type:
  • Functions:
    Regulatory Affairs
  • Experience:
Job Description:
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Preparing the weekly and monthly customer and PAB reserve formula calculations

Calculating aspects of the daily and monthly net capital calculations

Primary dealer reporting (FRB Form 2004) and TIC reporting

Analyzing month end customer and fail adjustments during the close process

Compiling aspects of the FOCUS Report for transmission to regulators

Completing working papers supporting the components of the net capital and reserve formula calculations

Compiling monthly and quarterly supplemental reports for transmission to FINRA including Form Custody

Interacting with regulators and auditors during audits

Evaluating new business proposals from regulatory capital and reserve formula perspectives

Designing system enhancements for daily, weekly and monthly reporting


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