This position requires the candidate to monitor daily securities possession or control requirements to ensure strict compliance with the Customer Protection Rule (15c3-3)
Job Summary
This position requires the candidate to monitor daily securities possession or control requirements to ensure strict compliance with the Customer Protection Rule (15c3-3).
The role involves compiling and reviewing regulatory reporting information for Daily Reserve and Monthly FOCUS reports while ensuring adherence to industry regulations.
Candidates will collaborate closely with management to identify opportunities that enhance operational efficiency, strengthen controls, and reduce financial and regulatory risk.
Matching Summary
This position requires the candidate to monitor daily securities possession or control requirements to ensure strict compliance with the Customer Protection Rule (15c3-3).
Skills & Requirements
Must-have
Customer Protection Rule 15c3-3 compliance
Daily Reserve and Monthly FOCUS reporting
Securities possession and control monitoring
Operational suspense account management
Internal and external audit support
Nice-to-have
Proactive process improvement identification
Strong collaboration with business partners
Trend analysis for performance scorecards
Experience with remediation efforts
Ability to work in fast-paced environment
Key Requirements
Series 99 or equivalent license required prior to starting
SIE license required unless exempted or grandfathered