Regulatory Reporting Analyst

About the role

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers. At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. Together, we're shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. - grit, results, empathy, accountability, and teamwork - with Apex. We're proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we've created. Here are just a few of the many awards we've recently received: Best Places to Work 2026, 2025, 2024, 2023 - Presented by BuiltIn WealthTech of the Year 2025 - Presented by US FinTech Awards The World's Top 250 Fintech Companies 2024 - Presented by CNBC ABOUT THIS ROLE Job Summary: Apex Finance is seeking a detail-oriented and analytical Regulatory Reporting Analyst to join our dynamic team. This role is crucial for maintaining the firm's regulatory compliance by managing complex reporting tasks, analyzing financial data, and ensuring accuracy in all regulatory filings. The Regulatory Reporting Analyst will collaborate extensively with various teams including Billing, Accounting, Treasury, Client Service, Operations, Compliance, and Technology, making an impactful contribution towards safeguarding the firm and its clients.

Responsibilities

• Regulatory Compliance: Ensure that the firm adheres to securities laws and regulations such as Rule 15c3-3 regarding customer protection by continually applying and updating knowledge of these rules.
• SEC Reporting: Lead the preparation of the firm's FOCUS report in compliance with Rule 15c3-1, which includes crafting the regulatory balance sheet and related schedules.
• Futures Industry Reporting: Manage daily and monthly regulatory reporting responsibilities for the futures business, focusing on compliance and process improvement.
• Reserve Calculations and Reporting: Actively participate in the calculation of the weekly 15c3-3 reserve computation, resolving issues and reconciling accounts as required.
• Capital Charges Calculations: Prepare monthly capital charges, including detailed analysis of haircuts, margin calls, and fails to deliver/receive to determine net capital accurately.
• Accounting Support: Assist with the monthly accounting close specifically related to regulatory reporting needs and maintain accurate reconciliations of balance sheet accounts.
• Process Optimization: Continuously seek out and implement more efficient and impactful methods for regulatory reporting tasks, while upholding high standards of accuracy and compliance.
• Education and Experience:
• Bachelor's degree in Accounting, Finance, or a related field
• 2 years of general accounting experience, with a strong preference for candidates who have experience in broker-dealer accounting and operations.

Requirements

• Regulatory Knowledge: Familiarity with SEC Rule 15c3-1, Rule 15c3-3, and other relevant financial regulatory frameworks.
• Industry-Specific Experience: Prior experience with futures industry regulatory reporting.
• Certifications: Series 27, 7, or 99 certifications are beneficial.
• Technical Skills: Proficiency in NetSuite and advanced Excel capabilities are highly valued.
• Knowledge, Skills, and Abilities: Analytical Abilities: Exceptional analytical and problem-solving skills to accurately handle complex data and reporting tasks.
• Attention to Detail: High level of accuracy and attention to detail in all aspects of work.
• Independence: Ability to function effectively both independently and as part of a team in a fast-paced environment.
• Communication: Strong communication skills, capable of constructing well-formulated written and verbal reports and presenting complex information clearly and effectively.Adaptability: Can manage multiple projects and tight deadlines, adapt quickly to changes, and handle competing priorities.
• Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
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