This is a challenging and visible role within the Finance Division - responsible for financial and regulatory reporting for the Firm's broker/dealer business. Preparing all regulatory reports including 15c3-1, 15c3-3, Reg S and FOCUS. Daily monitoring of regulatory capital usage by each business unit in the broker/dealer and allocation of limits to ensure no regulatory capital breaches. Assist FINRA examinations and responding to queries from regulatory bodies with respect to the broker/dealer.