Broker-Dealer Regulatory Reporting Lead
Aquent
Aquent seeks a Senior Regulatory Reporting Analyst – Broker-Dealer to safeguard regulatory compliance for broker-dealer and futures entities from its Lone Tree, CO base. You will serve in the Corporate Controller Unit, handling filings to FINRA, the SEC, the NFA, and the Federal Reserve. Your focus includes SEA Rules 15c3-1/3, FOCUS filings, and NFA segregation, with responsibilities for reserves, capital, audits, and regulatory examinations. #J-18808-Ljbffr Aquent
Vacancy posted 4 days ago
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