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