Regulatory Reporting Associate

Nextera Search Group; New York (NY); On-site; USD 70,000 - 100,000; Full time

Job summary

Nextera Search Group is seeking an Associate for a NY-based bank’s Regulatory Reporting team. The role focuses on accurate net capital calculations and timely regulatory filings for broker-dealer entities.

You will analyze balances, validate data with internal teams, and ensure compliance with SEC rules, supporting both domestic and international reporting needs.

Qualifications

• Bachelor’s degree in Accounting, Finance, or a related field (required).
• 2–4 years of relevant experience, including at least 1 year in broker-dealer regulatory reporting.
• Working knowledge of SEC Rule 15c3-1 and capital requirements.
• Experience preparing or supporting FOCUS reports and broker-dealer filings.
• Familiarity with SEC Rule 15c3-3 and customer protection requirements.

Responsibilities

• Prepare daily net capital calculations for broker-dealer entities.
• Calculate capital charges for underwriting activity and monitor exposures.
• Support periodic regulatory capital calculations for international entities.
• Prepare and review monthly/quarterly regulatory reports with accuracy and timeliness.
• Analyze trial balance movements and investigate variances.

Skills

Broker-dealer reporting

SEC Rule 15c3-1

Excel proficiency

Analytical skills

Deadline management

Education

Bachelor’s degree in Accounting/Finance

Tools

FOCUS

Job description

A Bank in New York City is seeking an experienced professional to join their Regulatory Reporting team as an Associate.

Responsibilities:

• Prepare daily net capital calculations for regulated broker-dealer entities in accordance with applicable requirements.
• Calculate capital charges associated with underwriting activity and monitor confirmed sales and related exposures.
• Support periodic regulatory capital calculations for international entities.
• Prepare and review monthly and quarterly regulatory reports, ensuring accuracy and timely submission.
• Analyze trial balance movements and investigate variances to support the integrity of financial records and regulatory reporting.
• Partner with finance, operations, and other internal teams to validate financial information and reference data.
• Maintain and update regulatory reporting procedures to reflect changes in requirements and business activities.
• Research new and revised regulatory requirements and support their implementation, including assessing reporting implications for new products and transactions.
• Assist with special projects, reporting requests, and process improvements.

Qualifications:

• Bachelor’s degree in Accounting, Finance, or a related field.
• 2–4 years of relevant experience, including at least 1 year of broker-dealer regulatory reporting.
• Working knowledge of SEC Rule 15c3-1, including net capital calculations and related capital requirements.
• Experience preparing or supporting FOCUS reports and other broker-dealer regulatory filings.
• Familiarity with SEC Rule 15c3-3 and customer protection requirements.
• Strong accounting and analytical skills, with the ability to reconcile financial data and investigate variances.
• Proficiency in Microsoft Excel and strong attention to detail.
• Ability to manage reporting deadlines and collaborate effectively with internal teams.