Regulatory Reporting Analyst

Aquent; Denver (CO); On-site; USD 121,229,000 - 129,494,000; Full time

Job summary

Aquent seeks a Senior Regulatory Reporting Analyst – Broker-Dealer to safeguard regulatory compliance for broker-dealer and futures entities from its Lone Tree, CO base. You will serve in the Corporate Controller Unit, handling filings to FINRA, the SEC, the NFA, and the Federal Reserve.

Your focus includes SEA Rules 15c3-1/3, FOCUS filings, and NFA segregation, with responsibilities for reserves, capital, audits, and regulatory examinations.

Qualifications

• Bachelor’s degree in Accounting or Finance.
• 3–5 years of hands-on financial reporting, audit, or regulatory experience in financial services.
• Strong knowledge of SEA Rules 15c3-1 and 15c3-3.
• Experience with FOCUS filings and NFA rules.
• Ability to work under tight deadlines and collaborate across functions.

Responsibilities

• Prepare weekly Customer Reserve computations (SEA 15c3-3) and Net Capital calculations (SEA 15c3-1).
• Lead monthly FOCUS report reviews and TIC reports for the Federal Reserve.
• Submit daily segregation requirements to the NFA for the futures entity.
• Support regulatory examinations (FINRA/SEC/NFA) and assess regulatory impact of new initiatives.
• Ensure 17a-5/SOX control compliance.

Skills

Regulatory reporting

Financial reporting

SEA Rule 15c3-1

SEA Rule 15c3-3

FOCUS filings

NFA rules

Audit support

Cross-functional collaboration

Attention to detail

Education

Bachelor’s degree in Accounting or Finance

Job description

Senior Regulatory Reporting Analyst – Broker-Dealer

Pay Rate: $42.53 / hour

Location: Lone Tree, CO

About the Role

Our client is seeking a detail-oriented Senior Regulatory Reporting Analyst to maintain financial and operational compliance for our broker-dealer and futures entities. Joining our Corporate Controller Unit, you will act as a key gatekeeper managing core filings submitted to FINRA, the SEC, the NFA, and the Federal Reserve.

What You’ll Do

• Customer Reserve & Capital: Prepare and review weekly Customer Reserve computations (SEA Rule 15c3-3) and Net Capital calculations (SEA Rule 15c3-1).
• Regulatory Filings: Lead monthly FOCUS report reviews and assemble Treasury International Capital (TIC) reports for the Federal Reserve.
• Futures & FX: Calculate and submit daily segregation requirements to the NFA for our futures entity.
• Advisory & Audit: Support regulatory examinations (FINRA/SEC/NFA), assess new business initiatives for regulatory impact, and ensure 17a-5/SOX control compliance.

What You Bring

• Education & Experience: Bachelor’s degree in Accounting or Finance with 3–5 years of hands-on financial reporting, audit, or regulatory experience in financial services.
• Regulatory Knowledge: Deep familiarity with SEA Rules 15c3-1, 15c3-3, FOCUS filings, and NFA segregation rules.
• Core Competencies: Exceptional analytical ability, high precision under tight deadlines, and strong cross-functional collaboration skills.