Regulatory Reporting Analyst – Broker-Dealer

Job overview

The Regulatory Reporting Analyst – Broker-Dealer is an onsite role based in Lone Tree, CO. Compensation is not specified for this position, which supports the firm's regulatory compliance and operational excellence within the financial services department. This role exists to ensure the firm's adherence to complex regulatory requirements by preparing, filing, and reviewing critical financial and operational reports. The analyst contributes to the firm's stability by safeguarding customer assets and providing strategic insights on regulatory impacts.

What you'll do

• Prepare and review weekly Customer Reserve and Net Capital computations.
• Conduct analysis of uniform single reports for financial and operational data.
• Assess impact of new client initiatives on regulatory filings.
• Review proposed regulations and articulate potential impacts to leadership.
• Prepare daily Segregation requirements.
• Support regulatory examinations and identify process improvements.

What we're looking for

Skills & competencies

temporary

day shift

lone tree co

aquent talent

accounting

finance

regulatory reporting

broker-dealer

compliance

onsite

Work arrangement

• Weekend coverage required

Benefits & perks

• Subsidized health, vision, and dental plans, paid sick leave, retirement plans with a match, and free online training through Aquent Gymnasium.

Why this role

Focuses on broker-dealer regulatory reporting and compliance within a financial services environment.

About the employer

Aquent Talent is hiring for this role. Industry: Investment Banking and Securities Intermediation. Sector: 52.