FCM Senior Regulatory Reporting Specialist

Company: SGS Soci--t-- G--n--rale de Surveillance SA
Location: Chicago
Posted on: May 3, 2025

Job Description:

ResponsibilitiesSG Americas Securities, LLC (SGAS): Broker-Dealer Regulatory Reporting GroupThis department is responsible for local regulatory reporting (SEC, FINRA, CFTC, CME, FRBNY, etc.) in SGAS. Additionally, the team works closely with FCM and Securities operations, front office, internal audit, external audit, and second level control.

• CFTC Segregated, Secured, Swaps protection formulas and SIDR - preparation, review, analysis
• 15c3-1 Net Capital - preparation, review, analysis
• Maintain existing relationships with Regulators
• Automate legacy manual processes
• Prepare and review other reports such as Leverage, Liquidity, Surveys, and Ad Hoc analyses
• Cross-train staff and promote staff development
• Participate in and manage Regulatory and Financial Audits
• Enhance control environment and documentation
• Analyze and review the Monthly FOCUS report
• File weekly and bi-weekly reports to FINRA and CFTC/CME
• Supervise the CFTC Regulatory Reporting TeamProfile requiredDivision Description:The Finance Department of Global Banking and Investor Solutions (GBIS) is a global organization with a local presence. Our core mission in the Americas involves delivering accurate financial reports, supporting Business Units, Service Units, and General Management with financial and strategic guidance, scrutinizing business plans, and advising on the efficient use of capital, liquidity, and funding resources. The department performs independent certification of financial data and creates daily P&L explanations on market activities. We also oversee cross-business projects in financial and regulatory areas, providing expertise on accounting, prudential, and tax norms to ensure compliance.Skills and Qualifications
  • Strong knowledge of CFTC Segregation, Secured, and Cleared Swap Customer Calculations, including residual interest and external notification requirements
  • Strong knowledge of SEC Rule 15c3-1 and related notification requirements
  • Understanding of broker-dealer and FCM operations
  • Ability to formulate reporting requirements for new processes
  • Excellent verbal and written communication skills
  • Problem-solving and analytical skills
  • Ability to handle multiple issues and meet reporting deadlines
  • Effective interaction with staff at all levelsTechnical Skills
    • Proficiency in Excel and working with large data sets
    • Ability to automate and improve processesExperience
      • Series 27 required
      • 7-10 years of industry experience
      • Strong working knowledge of CFTC Customer Protection formulas
      • Experience with foreign carrying brokers
      • Solid accounting backgroundEducation
        • Bachelor's degree in Finance, Accounting, or related field required
        • Advanced degree is a plus
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Keywords: SGS Soci--t-- G--n--rale de Surveillance SA, Wheaton , FCM Senior Regulatory Reporting Specialist, Accounting, Auditing , Chicago, Illinois