• Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Credit Suisse -
  • 26 Jun 19

SEC Regulatory Reporting Analyst #120738

We Offer
The US Regulatory Reporting team within the LE Finance IHC & Other Americas Entities is seeking an Assistant Vice President to be based in our New York office. The team is responsible for filing the SEC reports for 4 US registered broker-dealers. The purpose of this position is to be responsible for the timely and accurate filing of the SEC/FINRA/CME reporting requirements for CS's US broker/dealers.

We Offer:
  • Prepare the selected sections of monthly FOCUS report, including performance of necessary analysis of the reportable data and working with the various groups (PC, LECs, Operations) in resolving reporting issues.
  • Prepare the daily net capital.
  • Prepare the FINRA monthly supplemental schedules, including supplemental Inventory report, inventory leveling report, off-balance sheet report, and supplemental statement of income.
  • Arrange the selected sections of the weekly and monthly Customer and PAB reserve calculation.
  • Update and test firm's controls around regulatory reporting so that the firm can demonstrate compliance with new SEC 17a-5a amendments.
  • Produce responses to the Regulators' questions on the filings as well as assisting the annual Regulatory examinations (FINRA & CME), and
  • Work on related special projects/analysis that may be required.

Credit Suisse maintains a Working Flexibility Policy, subject to the terms as set forth in the Credit Suisse United States Employment Handbook.

You Offer
  • You have a Bachelor's degree in Accounting
  • A CPA is preferred
  • You possess experience in the SEC regulatory reporting (specifically in 15c3-1 Net Capital Rule and 15c3-3 Customer Reserve Formula).
  • You bring 5 years of experience in financial accounting in financial services (Big 4 experience is an advantage).
  • Can you show an analytical / problem solving mind-set?
  • Are you able to collaborate globally and across departments and work together in a team environment?
  • Do you have a strong controls mindset and a proactive, hands-on working style?
  • You have attention to detail as it's needed to be successful in the role.
  • You demonstrate excellent verbal and written communication skills.