Regulatory Reporting Analyst: Impact & Compliance

Aquent; Lone Tree (CO); On-site; USD 70,000 - 110,000; Full time

Job summary

Aquent is seeking a highly capable regulatory reporting professional to join a leading financial services firm in the Denver area. You will support meticulous preparation, filing, and review of regulatory reports for a broker-dealer and a futures/FX entity, ensuring accuracy and compliance with industry standards.

You will review and prepare SEA Rule 15c3-3 and 15c3-1 computations, analyze the FO CU S report, and assess the impact of new client initiatives on filings.

Qualifications

• Undergraduate degree in Accounting or Finance.
• 3–5 years of experience in accounting or regulatory reporting.
• Strong attention to detail and accuracy in all tasks.
• Analytical and organizational skills for complex data and processes.
• Ability to work independently in a fast-paced environment and meet deadlines.

Responsibilities

• Prepare and/or review weekly Customer Reserve computations in compliance with SEA Rule 15c3-3.
• Prepare and/or review Net Capital computations in compliance with SEA Rule 15c3-1.
• Review the Financial and Operational Combined Uniform Single (FOCUS) report for accuracy and compliance.
• Assess impact of new client initiatives on regulatory filings and provide strategic insights.
• Review regulations and communicate impacts to finance and leadership to guide adjustments.
• Prepare daily Segregation requirements for futures and FX entity for NFA.
• Provide support during on-site or remote examinations by regulators (FINRA/SEC, NFA).
• Review reporting processes to identify efficiency, effectiveness, and SOX/17a-5 compliance opportunities.

Skills

Attention to detail

Analytical thinking

Team player

Independent work

Education

Undergraduate degree in Accounting or Finance

Tools

Excel

Regulatory reporting software

FOCUS reporting

Job description

Aquent is seeking a highly capable regulatory reporting professional to join a leading financial services firm in the Denver area. You will support meticulous preparation, filing, and review of regulatory reports for a broker-dealer and a futures/FX entity, ensuring accuracy and compliance with industry standards.

You will review and prepare SEA Rule 15c3-3 and 15c3-1 computations, analyze the FO CU S report, and assess the impact of new client initiatives on filings.