Title: Senior Analyst (972-2)
Location: Chicago
Compensation: Commensurate with experience
Summary/Responsibilities:
Prepare daily and monthly profit and loss reports based on broker statements
Reconcile trades, positions, and cash balances between trading systems and broker statements
Evaluate fees and interest charges against fee agreements and contracts
Maintain accounting records for brokerage accounts
Identify workflow/system improvements and work with team to enact change
Special projects and investment analyses as necessary
Coordinate new vendor/brokerage relationships with CFO/Legal/IT/Compliance including ongoing KYC/DD
Coordinate with CFO/Legal on the creation of new entities and maintain good legal status with state and federal authorities
Review new contracts with legal counsel (for irregularities and harsh clauses) and CFO (for fee structure negotiations) and track critical termination dates
Coordinate with Legal on creation and maintenance of certain internal corporate documents (resolutions, trading authorizations)
Assist with regulatory reporting requirements as needed
Perform HR-related vendor tasks (payroll, insurance, 401K, etc)
Coordinate & perform trader registration/deregistration
Monitor and evaluate developments with SEC/FINRA regulations and external service providers (brokers, exchanges, regulators, vendors)
Respond to queries from internal partners and external service providers
Creation of annual calendar and confirmation of completion of various activities
Requirements:
2-4 years of experience in the financial services industry (fund administration, trading firm or clearing brokerage)
Bachelor’s degree in accounting/finance/IT and consistent record of professional achievement, including progressively taking on additional responsibilities
Strong proficiency with Microsoft Office suite especially Excel (VBA a plus)
Accounting skills a must
Strong analytical and detail-oriented aptitude; a high degree of accuracy is required
Self-starter, entrepreneurial mindset, independent thinker, and willingness to take on new responsibilities
Excellent communicator, ability to creatively solve problems both independently and within a group setting
Integrity and character are critical
US Citizenship/Permanent Residency
Familiarity with the following:
- CFTC’s OCR & NFA Exemptions
- SEC’s 13F & 13H and EDGAR system
- SEC 15c3-1, 15c 3-5
- GMEI/ LEI
- US Tax Reporting/FATCA/FBAR
- European MIFD
- DD/KYC/AML
- WEBCRD
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Lisa Curtin
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x117
lisa@brokerageconsultants.com
www.brokerageconsultants.com
Location: Chicago
Compensation: Commensurate with experience
Summary/Responsibilities:
Prepare daily and monthly profit and loss reports based on broker statements
Reconcile trades, positions, and cash balances between trading systems and broker statements
Evaluate fees and interest charges against fee agreements and contracts
Maintain accounting records for brokerage accounts
Identify workflow/system improvements and work with team to enact change
Special projects and investment analyses as necessary
Coordinate new vendor/brokerage relationships with CFO/Legal/IT/Compliance including ongoing KYC/DD
Coordinate with CFO/Legal on the creation of new entities and maintain good legal status with state and federal authorities
Review new contracts with legal counsel (for irregularities and harsh clauses) and CFO (for fee structure negotiations) and track critical termination dates
Coordinate with Legal on creation and maintenance of certain internal corporate documents (resolutions, trading authorizations)
Assist with regulatory reporting requirements as needed
Perform HR-related vendor tasks (payroll, insurance, 401K, etc)
Coordinate & perform trader registration/deregistration
Monitor and evaluate developments with SEC/FINRA regulations and external service providers (brokers, exchanges, regulators, vendors)
Respond to queries from internal partners and external service providers
Creation of annual calendar and confirmation of completion of various activities
Requirements:
2-4 years of experience in the financial services industry (fund administration, trading firm or clearing brokerage)
Bachelor’s degree in accounting/finance/IT and consistent record of professional achievement, including progressively taking on additional responsibilities
Strong proficiency with Microsoft Office suite especially Excel (VBA a plus)
Accounting skills a must
Strong analytical and detail-oriented aptitude; a high degree of accuracy is required
Self-starter, entrepreneurial mindset, independent thinker, and willingness to take on new responsibilities
Excellent communicator, ability to creatively solve problems both independently and within a group setting
Integrity and character are critical
US Citizenship/Permanent Residency
Familiarity with the following:
- CFTC’s OCR & NFA Exemptions
- SEC’s 13F & 13H and EDGAR system
- SEC 15c3-1, 15c 3-5
- GMEI/ LEI
- US Tax Reporting/FATCA/FBAR
- European MIFD
- DD/KYC/AML
- WEBCRD
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Lisa Curtin
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x117
lisa@brokerageconsultants.com
www.brokerageconsultants.com
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