Major Responsibilities:

 

• Supervise the preparation and submission of customer reserve (15c3-3) and net capital (15c3-1) computations, FOCUS Reports, and other regulatory filings
• Ensure the firm is in continuous compliance with regulatory rules and regulations in daily, weekly, monthly, and quarterly reporting
• Analyze results of regulatory calculations and respond to internal and external regulatory related inquiries and ad-hoc analyses
• Supervise, lead and support team members in completing their responsibilities and assist in career development of seasoned professionals
• Proactively review and evaluate existing processes for efficiency and effectiveness, including identifying and implementing automation opportunities.
• Communicate and present regulatory results to Senior Executives and collaborate with business partners across the firm
• Liaise with internal and external auditors, regulators, compliance and internal financial responsibility compliance monitoring on a timely and accurate basis
• Lead the automation of customer reserve calculation, which includes writing requirements, testing, managing project timeline and interacting with Technology partners regularly
• Drive new process implementation; managing projects to implement innovative automation solutions, new business accommodations and updates to regulatory requirements

Assist with capital planning, presentations and analysis for senior management

Qualifications

Experience:

 

• Bachelor’s Degree in Accounting or Finance
• 10 to 15 years broker dealer regulatory reporting experience
• Extensive 15c3-1 and 15c3-3 Rule knowledge and experience required
• Series 27 License (will be required to obtain within six months of hire)
• Federal Reserve reporting a plus (e.g. TIC, Basel)
• Interaction with systems in developing and maintaining technology solutions

 

Skills:

 

• High proficiency in Microsoft Excel, Word, and PowerPoint
• Experience in preparing and filing financial reports with FINRA
• Ability to present complex topics in both written and oral presentation skills
• Demonstrated experience in evaluating processes and making and implementing recommendations for improvement
• Strong analytical and problem solving skills
• Strict attention to detail, able to prioritize tasks under tight deadlines, demonstrate risk awareness and escalate when appropriate
• Teamwork/collaboration-oriented with the ability to work independently
• Proven leadership and relationship building skills

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer.
Minorities/Females/Individuals With Disabilities/Protected Veterans.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.

Primary Location: United States-New Jersey-Jersey City
Internal Jobcode: 85072
Job: Finance/Accounting
Organization: Finance-HR06599
Requisition Number: 2107350