• Stifel
  • St. Louis, MO, USA
  • Oct 12, 2017
Full time Client Services

Job Description

Tracking Code
Job Description


Under administrative direction, the Regulatory Reporting Manager is responsible for preparing, reviewing and filing financial and operational regulatory reports for broker-dealers spanning multiple lines of business. These reports include monthly or quarterly FOCUS filings and supplementary schedules and public reports including 17a-5. The department is also responsible for calculating periodic reserve deposit requirements in compliance with the customer protection regulation SEA Rule15c3-3.


  • Supervise a team of four associates responsible for broker-dealer regulatory functions including:
    • Net capital computations in compliance with SEA Rule 15c3-1
    • Weekly customer reserve computations in compliance with SEA Rule 15c3-3
    • Monthly FOCUS report preparation and summary analysis for management
    • Other monthly and quarterly statutory filings
  • Spearhead process improvements including optimizing reporting capabilities of new general ledger and automating haircut and customer reserve processes
  • Streamline reporting across multiple broker-dealers and identify opportunities to centralize processes from disparate entities
  • Provide examination support for the broker-dealer's regulators (FINRA and SEC) and external auditor
  • Review and augment controls design, execution and documentation to ensure compliance with SOX and 17a-5 requirements
  • Review journal entries, account reconciliations and schedules to support the monthly financial close process
  • Up to 25% travel
Required Skills


  • Proficient in Microsoft Outlook and Microsoft Office Suite.
  • Strong understanding, knowledge and experience in financial industry with familiarity of the industry's concepts, practices and procedures.
  • Identifies market trends and dynamics and acts on them; anticipates emerging Accounting needs and opportunities; assesses risks and rewards of new business opportunities. Relies on experience and judgment to plan and accomplish goals.
  • Able to organize, prioritize and manage multiple tasks and responsibilities; is able to follow through and accomplish goals, manage expectations appropriately and use firm's resources efficiently with the ability to work independently in a dynamic environment with tight deadlines.
  • Strong analytical, quantitative and organizational skills. Knowledge of the financial markets, the industry, the analysis and reporting of financial data, and associated terminology. Excellent attention to detail with high degree of accuracy
  • Strong written and oral communication skills including effective interaction with all levels of staff and management.
  • Takes active role in building firm's business, both internally and externally; is a good role model and mentor and seeks out opportunities to build and enhance firm's brand and reputation with the ability to seize initiative and resolve issues.
  • Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.

Required Experience



  • Minimum Required: Bachelor's degree in Accounting or Finance
  • Desired: CPA strongly preferred


  • Minimum Required: 7-10 years in accounting or reporting related experience
  • Desired: 7+ years' experience at a broker-dealer firm


  • Minimum Required: Series 27 licensed or ability to obtain within 6 months
  • Desired: None
Job Location
St. Louis, Missouri, United States
Position Type