Mid-Level, Senior
Regulatory Reporting Specialist
Department Summary:
SG Americas Securities, LLC (SGAS): Broker-Dealer Regulatory Reporting Group
This department is responsible for the local regulatory reporting for SGAS (SEC, FINRA, CFTC, CME, FRBNY, etc). Additionally, team works closely with both FCM and Securities side operations, front office, internal audit, external audit and second level control.
Day to Day Responsibilities:
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Preparation of Daily 15c3-3 customer and PAB calculations
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Review of Daily 15c3-1 Net Capital Computation
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Preparation and Presentation of Monthly Focus Report to Senior Management
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Work closely with Front Office on new business and expansion projects
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Automation of legacy manual processes
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Other report preparation and analysis such as Leverage, Liquidity, Surveys and Ad Hoc Requests
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Actively participate in Regulatory and Financial Audits
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Enhance control environment and documentation
Monthly Responsibilities:
- Assist in monthly FOCUS report preparation and analysis
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