Regulatory Reporting Analyst

Category: Finance
Location: Jersey City, NJ
Job ID: 12650
Posted Date: August 30, 2019

More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.



E*TRADE Financial is looking for a highly motivated individual to join our Regulatory Reporting Team. The Regulatory Reporting Analyst role will be a key position for preparing and analyzing all E*TRADE Financials broker/dealer regulatory reporting requirements. This position will require a highly organized, analytical thinker with experience in complex brokerage environments.

Familiarity with some of the following:
* FOCUS Report Preparation for NYSE/NFA member broker/dealers
* Customer reserve requirement (Rule 15c3-3) calculations.
* Broker/dealer net capital computations (Rule 15c3-1).
* Clearing Back Office Operations knowledge
* Securities clearing rules and broker/dealer compliance procedures.
* Assist with preparing monthly FOCUS Report and Daily customer reserve computations.
* Prepare other monthly regulatory reports as required by NYSE//NFA and SEC. such as Daily Futures Segregated calculation, FINRA SSOI reports
* Work with operations and treasury departments in order to resolve any issues, which may arise.
* Assist with ad-hoc reporting responsibilities should also be expected.


* An undergraduate degree in business, finance, other related fields.


* 2-3 years of relevant experience working at a NYSE member broker/dealer
* ADP BPS knowledge
* Technical skills in various Microsoft Office Tools (particularly Excel)
* Strong work ethic and highly motivated individual
* Strong interpersonal skills and ability to communicate effectively in both oral and written form

Other Specific Skills & Knowledge:

* Prior experience with Oracle a plus.
* Ability to evaluate current procedures and design and implement changes in order to streamline operations, while ensuring sufficient checks and balances.
* Advanced problem solving skills.
* Prior experience in highly automated environment a plus.
* Must be a self-starter and have the ability to work without constant supervision.

We offer a competitive and comprehensive benefits package. Please visit to learn more about the opportunities.

E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.

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