Regulatory Reporting Analyst

Regulatory Reporting Analyst (Contract)

Location: Lone Tree, CO (On-site 4 days per week)
Duration: 9 Months


About the Role


We are looking for a Regulatory Reporting Analyst to support financial and regulatory reporting activities for broker-dealer operations. This role is part of the Corporate Controller team and focuses on preparing, reviewing, and analyzing regulatory reports while ensuring compliance with regulatory requirements.

Responsibilities

• Prepare and review weekly customer reserve calculations in accordance with regulatory requirements.
• Prepare and review net capital calculations and ensure compliance with applicable rules.
• Analyze and review regulatory filings, including monthly financial reports.
• Assess the impact of new business initiatives on regulatory reporting processes.
• Research and interpret new regulations and communicate potential impacts to finance and business teams.
• Prepare daily segregation requirement calculations for regulated entities.
• Support regulatory audits and examinations conducted by governing agencies.
• Identify opportunities to improve reporting processes, controls, efficiency, and compliance.
• Collaborate with cross-functional teams to ensure accurate and timely reporting.
• Maintain strong documentation and adherence to internal control requirements.

Required Qualifications

• Bachelor's degree in Accounting, Finance, or a related field.
• 3-5 years of experience in accounting, financial reporting, regulatory reporting, or a related area.
• Strong analytical and problem-solving skills.
• Excellent attention to detail and accuracy.
• Ability to manage multiple priorities and meet strict deadlines.
• Strong organizational and communication skills.
• Ability to work independently in a fast-paced environment.
• Experience working with regulatory reporting, broker-dealer operations, or financial services environments is preferred.

Preferred Skills

• Knowledge of customer reserve and net capital calculations.
• Understanding of financial regulatory reporting requirements.
• Experience supporting audits, examinations, or compliance reviews.
• Ability to evaluate processes and recommend operational improvements.
• Strong collaboration and stakeholder management skills.