Regulatory Reporting Analyst

Apex

Hybrid

Quick summary

Work type
Hybrid
Location
Chicago, IL
Posted
10 days ago
Nearby
99+ roles within 25 mi

Market check

Salary context

How this pay compares to similar roles

Similar $139k
$102k most similar roles pay here $177k

This listing doesn't post a salary. Most similar roles pay $108,910–$169,350.

Based on 239 similar postings.

Employer

About Apex

Apex Fintech Solutions provides brokerage infrastructure and clearing services to financial services companies, enabling them to deliver investing, trading, and retirement solutions to their customers. Industry: Financial Technology & Brokerage Infrastructure

Apex currently has 27 open roles on FindRole.

Listed pay typically runs $134,400–$168,000 across 9 roles with salary data.

Most-posted roles

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At a glance

TL;DR · Regulatory Reporting Analyst

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Apex Finance seeks a Regulatory Reporting Analyst to join its dynamic team as a key player in maintaining regulatory compliance through managing complex reporting tasks and analyzing financial data. This role involves collaborating closely with various departments such as Billing, Accounting, Treasury, Client Service, Operations, Compliance, and Technology to ensure accurate regulatory filings and process improvements. Responsibilities include ensuring adherence to securities laws like Rule 15c3-3, preparing FOCUS reports in compliance with Rule 15c3-1, managing daily futures industry reporting, calculating reserves and capital charges, supporting monthly accounting closes, and optimizing processes for efficiency while upholding high standards of accuracy and compliance. The ideal candidate holds a Bachelor’s degree in Accounting or Finance, preferably with experience in broker-dealer operations, and possesses proficiency in NetSuite and advanced Excel skills, along with Series 27, 7, or 99 certifications.

Skills

NetSuite Excel SEC Rule 15c3-1 Rule 15c3-3 Futures Industry Reporting Regulatory Compliance Process Optimization Capital Charges Calculations Reserve Calculations Accounting Support CI/CD

What you'll do

  • Ensure firm adherence to securities laws and regulations like Rule 15c3-3.
  • Lead preparation of FOCUS report in compliance with SEC Rule 15c3-1.
  • Manage daily and monthly regulatory reporting for the futures business.
  • Participate actively in weekly reserve computation and account reconciliation.
  • Prepare monthly capital charges, analyzing haircuts, margin calls, and fails.
  • Assist with monthly accounting close related to regulatory reporting needs.
  • Continuously seek and implement efficient methods for regulatory tasks.

What we're looking for

  • Bachelor’s degree in Accounting, Finance, or related field required.
  • 2 years of general accounting experience; broker-dealer experience preferred.
  • Familiarity with SEC Rule 15c3-1 and Rule 15c3-3 regulatory frameworks.
  • Experience in futures industry regulatory reporting beneficial.
  • Series 27, 7, or 99 certifications advantageous.
  • Proficiency in NetSuite and advanced Excel skills highly valued.

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