Reg W Monitoring And Reporting Analyst

DESCRIPTION

• Monitoring quantitative limits on a daily basis. Reporting capacity limits and capacity usage in daily and quarterly reporting to internal stakeholders, Lines of Business, and Finance teams.

• Monitor and validate completeness and accuracy of Reg W transactions within Reg W database on daily basis.

• Onboard new Reg W 23A transactions working with Stakeholders, and LOB. Train LOB data providers on database functionality and controls.

• Daily monitoring and reporting of exposure and use of cash as collateral including monthly and quarterly reviews of transactions in the Reg W database.

• Prepare and deliver daily and weekly reporting to internal stakeholders.

• Project work as required including database enhancements which includes UAT testing.

• Perform weekly and monthly variance analysis on Reg W transactions.

• Assist the Broker Dealer regulatory reporting with the preparation of SEC Rule 15c3-1 Net Capital Computation and

SEC Rule 15c3-3 Customer Reserve Formula Computation

• Other ad hoc responsibilities will apply as it is related to regulatory reportingHI

LOCATION

Manhattan, New York, NY, USA