Regulatory Reporting Analyst - Compliance & Controls (6M)

Yablon & Associates LLC; New York (NY); On-site; USD 7,000 - 7,800; Part time

Job summary

Yablon & Associates LLC in Midtown, NYC, seeks a Regulatory Reporting Analyst to support the Regulatory Controllers team. The role focuses on routine U.S.

regulatory reporting, ad hoc requests, and ensuring compliance with key securities rules. You will contribute to regulatory production reporting, 15c3-3 and 15c3-1 calculations, and balance sheet analytics, while strengthening controls and coordinating with stakeholders.

Qualifications

• 5+ years in the Broker Dealer industry, with exposure to 15c3-1, 15c3-3 and SEA Rule 17a-5.
• Strong knowledge of SEA Rule 15c3-1, 15c3-3, 18a-1, and 17a5.
• Proficiency with regulatory reporting processes and accounting/operations of a Broker Dealer.

Responsibilities

• Assist with regulatory production reporting and 15c3-3 filings.
• Support daily/weekly/monthly reporting cycles for US regulated entities and ad hoc requests.
• Conduct root-cause analyses, deficit aging, and extension requests under SEA Rule 15c3-3.
• Develop controls and safety checks to risk manage the reporting process for 15c3-3.
• Independently challenge results and drive improvements in regulatory reporting processes.

Skills

Regulatory reporting

Analytical mindset

Stakeholder collaboration

Tools

Microsoft Excel

Alteryx

Tableau

Job description

Yablon & Associates LLC in Midtown, NYC, seeks a Regulatory Reporting Analyst to support the Regulatory Controllers team. The role focuses on routine U.S.

regulatory reporting, ad hoc requests, and ensuring compliance with key securities rules. You will contribute to regulatory production reporting, 15c3-3 and 15c3-1 calculations, and balance sheet analytics, while strengthening controls and coordinating with stakeholders.