Regulatory Reporting Associate

PRI Technology; New York (NY); On-site; USD 85,000 - 110,000; Full time

Job summary

PRI Technology is seeking a regulatory reporting specialist in New York to support daily and monthly Net Capital calculations, customer reserve reviews, and regulatory filings in a fast-paced financial services environment.

The role involves preparing FOCUS reports, SIS/SLS/OBS forms, and other compliance documentation, while maintaining internal control documentation and collaborating with auditors and regulators.

Qualifications

• Bachelor's degree in Accounting, Finance, or related field; CPA or progress toward designation is a plus.
• 1–3 years of accounting, financial reporting, regulatory reporting, audit, or related financial services experience.
• Experience in securities industry or broker-dealer regulatory reporting preferred.
• Familiarity with SEC Rule 15c3-1, 15c3-3, 17a-5 FOCUS or related rules is preferred.
• Strong understanding of accounting principles and financial statement analysis.
• Advanced Excel and MS Office; ability to learn firm-specific systems and tools.
• Strong analytical, research, problem-solving, and organizational skills with attention to detail.
• Excellent written and verbal communication; ability to work across functions.
• Demonstrated ability to manage multiple priorities and meet deadlines in a fast-paced environment.

Responsibilities

• Prepare and review components of daily Customer Reserve and PAB Reserve computations.
• Prepare and review elements of the firm's daily and monthly Net Capital calculations.
• Assist in preparation and review of the FOCUS Report and other regulatory filings.
• Prepare and review monthly, quarterly, and annual regulatory reports (SIS, SLS, OBS, SSOI, Custody).
• Maintain documentation supporting the firm's internal control framework for regulatory capital and customer reserve requirements.
• Assist in ensuring regulatory reporting policies, procedures, and documentation remain current and compliant.
• Partner with auditors, regulators, and stakeholders during audits and examinations.
• Support evaluation of new business initiatives from a regulatory capital and customer reserve perspective.
• Participate in special projects and ad hoc assignments as needed.

Skills

Regulatory reporting

Financial analysis

Excel advanced

Cross-functional

Education

Bachelor's degree in Accounting/Finance

Tools

Excel

FOCUS reporting

Microsoft Office

Job description

Job Description

Job Description

Leading middle-market investment bank and full service broker-dealer.

Responsibilities

• Prepare and/or review components of the daily Customer Reserve and PAB Reserve computations.
• Prepare and/or review elements of the firm's daily and monthly Net Capital calculations.
• Assist in the preparation and review of the FOCUS Report and other regulatory filings.
• Prepare and/or review monthly, quarterly, and annual regulatory reports, including the Supplemental Inventory Schedule (SIS), Supplemental Liquidity Schedule (SLS), Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (Form OBS), Supplemental Statement of Income (SSOI) and Form Custody filings.
• Maintain documentation supporting the firm's internal control framework related to compliance with regulatory capital and customer reserve requirements.
• Assist in ensuring regulatory reporting policies, procedures, and documentation remain current and compliant with applicable requirements.
• Partner with internal and external auditors, regulators, and business stakeholders during audits and examinations.
• Support the evaluation of new business initiatives and transactions from a regulatory capital and customer reserve perspective.
• Participate in special projects and other ad hoc assignments as needed.

Qualifications Required

• Bachelor's degree in Accounting, Finance, or a related field; CPA or progress toward a professional accounting designation is a plus.
• One to three years of accounting, financial reporting, regulatory reporting, audit, or related financial services experience.
• Experience within the securities industry or broker-dealer regulatory reporting environment is preferred, but not required.
• Familiarity with SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Protection Rule), 17a-5 FOCUS reporting, or other broker-dealer financial responsibility rules is preferred.
• Strong understanding of accounting principles and financial statement analysis.
• Advanced Excel skills and proficiency with Microsoft Office applications; ability to learn and utilize firm-specific systems and reporting tools.
• Strong analytical, research, problem-solving, and organizational skills with attention to detail.
• Excellent written and verbal communication skills and the ability to work effectively across functions.
• Demonstrated ability to manage multiple priorities and meet recurring regulatory deadlines in a fast-paced environment