Regulatory Reporting Analyst

Responsibilities

• Ensure adherence to securities laws and regulations, including Rule 15c3-3 regarding customer protection
• Lead the preparation of the firm's FOCUS report in compliance with Rule 15c3-1
• Manage daily and monthly regulatory reporting for the futures business
• Participate in weekly 15c3-3 reserve computations, including account reconciliation and issue resolution
• Prepare monthly capital charges, including analysis of haircuts, margin calls, and fails to deliver/receive
• Support the monthly accounting close related to regulatory reporting and maintain balance sheet reconciliations
• Implement process optimizations to improve the efficiency and accuracy of regulatory reporting tasks

Requirements

• Bachelor's degree in Accounting, Finance, or a related field
• 2 years of general accounting experience
• Proficiency in NetSuite
• Advanced Excel capabilities

Preferred Qualifications

• Familiarity with SEC Rule 15c3-1, Rule 15c3-3, and other financial regulatory frameworks
• Prior experience with futures industry regulatory reporting
• Series 27, 7, or 99 certifications
• Strong analytical and problem-solving skills with high attention to detail

Benefits

• Healthcare benefits including medical, dental, and vision
• Competitive PTO and parental leave
• 401k match and HSA contribution match
• Paid subscription to the Calm app
• External learning and tuition reimbursement benefits
• Hybrid work schedule flexibility

About the Company

Apex Fintech Solutions powers innovation and the future of digital wealth management by building tech-forward solutions that simplify and automate access to financial markets. Our ecosystem of platforms and APIs supports major clients like SoFi and Webull, powering access to the stock market for over 22 million customers.