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Reg W Monitoring And Job In Network ESC At New York, NY
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Reg W Monitoring And Reporting Analyst

  • Full-Time
  • New York, NY
  • Network ESC
  • Posted 2 years ago – Accepting applications
Job Description

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

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