Bank of America U.S. Broker Dealer Regulatory Reporting Controller II in Charlotte, North Carolina

Job Description:

U.S. Broker Dealer Regulatory Reporting Controller II –

  • Preparation of Daily and monthly 15c3-1 Capital computation.

  • Responsible for the maintenance of 15c3-1 capital procedures, control documentation, and spreadsheet compliance.

  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 capital computation.

  • Assistance with providing support to FINRA, SEC, Internal, and public auditors

  • Working with FAKC (Offshore) team for tasks related to 15c3-1 capital

  • Preparation of daily FCM CFTC client protection calculations

Required Skills:

  • Bachelor’s degree (or higher) (finance or accounting strongly preferred)

  • Minimum of four years of professional experience in accounting/finance

  • Ability to work on multiple, complex tasks simultaneously and against aggressive deadlines

  • Strong problem solving skills and analytical abilities

  • Strong communication and presentation skills

  • Ability to work well both independently and as part of a team

  • Strong attention to details

  • Advanced experience/skills with Excel and complex spreadsheets

Desired Skills :

  • Previous experience in the financial services industry

  • Previous experience in a regulatory reporting role and SEC Broker-Dealer rules 15c3-1 and 15c3-3

  • CPA or equivalent a plus

Posting Date : 02/14/2018

Location :


  • United States

Travel : No

Full / Part-time : Full time

Hours Per Week : 40

Shift : 1st shift

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