Job Title: Regulatory Accountant (Chicago)
Job Description

We are seeking a dedicated Regulatory Accountant to join our team in Chicago. The ideal candidate will conduct quality checks to ensure data accuracy and maintain the integrity of regulatory reports. You will be responsible for keeping up-to-date with changes in securities regulations and industry best practices and updating reporting procedures as needed. You will prepare and submit various regulatory reports, including daily, weekly, and monthly filings such as CFTC FORM 1-FR, FINRA FOCUS, and other required reports based on specific regulatory guidelines.

ResponsibilitiesConduct quality checks to ensure data accuracy and maintain the integrity of regulatory reports.Keep up-to-date with changes in securities regulations and industry best practices, and update reporting procedures as needed.Prepare and submit various regulatory reports, including daily, weekly, and monthly filings such as CFTC FORM 1-FR, FINRA FOCUS, and other required reports based on specific regulatory guidelines.Collaborate with departments like accounting, trading, compliance, operations, and legal to gather information and address regulatory issues.Monitor trading activities for potential violations of regulatory rules and internal policies, and escalate issues to compliance officers when necessary.Collect trade data from internal systems and analyze trading activities to identify potential compliance concerns related to market manipulation, insider trading, best execution, and other regulatory requirements.Support internal and external auditors with inquiries related to regulatory reporting.Essential SkillsThorough knowledge of NFA, SEC, FINRA, and other applicable securities regulations.Bachelor's Degree in Accounting or Finance required.3-5 years of accounting experience, ideally in broker-dealer regulatory reporting.Deep understanding of securities markets, trading mechanisms, and relevant financial instruments.FINRA Series 99 certification.Proficiency in data manipulation, analysis, and reporting tools to extract and interpret complex data sets.Ability to meticulously review data and reports for accuracy and completeness.Excellent written and verbal communication skills to effectively convey complex regulatory issues.Additional Skills & Qualifications2-5 years of regulatory accounting at a broker/dealer firm.Good knowledge of NFA, SEC, FINRA.Series 27 experience is a plus.Advanced/Expert level in Excel.Experience with Oracle and Apex is a plus.Work Environment

This is an onsite full-time position with a hybrid model currently in place, but it is expected to transition to full-time in-office in the next few months. The office is located in the Chicago Stock Exchange Building and offers a full food court, gym, coffee, snacks, and more. The Chicago office is the fastest-growing office, with about 200+ employees. The office runs 24/7 due to being in trade. This is a great opportunity with a large public company, offering significant growth potential and excellent benefits, including PTO and a performance-based annual bonus.

Pay and Benefits

The pay range for this position is $40.00 - $45.00

Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:

• Medical, dental & vision\n
• Critical Illness, Accident, and Hospital\n
• 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available\n
• Life Insurance (Voluntary Life & AD&D for the employee and dependents)\n
• Short and long-term disability\n
• Health Spending Account (HSA)\n
• Transportation benefits\n
• Employee Assistance Program\n
• Time Off/Leave (PTO, Vacation or Sick Leave)

Workplace Type

This is a fully onsite position in Chicago,IL.

Application Deadline

This position will be accepting applications until Feb 4, 2025.

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\n \n About Aston Carter:\n

Aston Carter provides world-class corporate talent solutions to thousands of clients across the globe. Specialized in accounting, finance, human resources, talent acquisition, procurement, supply chain and select administrative professions, we extend the capabilities of industry-leading companies. We draw on our deep recruiting expertise and expansive network to meet the evolving needs of our clients and talent community with agility and excellence. With offices across the U.S., Canada, Asia Pacific and Europe, Aston Carter serves many of the Fortune 500. We are proud to be a ClearlyRated Best of Staffing® double diamond winner for both client and talent service.

\n Diversity, Equity & Inclusion\n

At Aston Carter, diversity and inclusion are a bridge towards the equity and success of our people. DE&I are embedded into our culture through:

\n Hiring diverse talent\n Maintaining an inclusive environment through persistent self-reflection\n Building a culture of care, engagement, and recognition with clear outcomes\n Ensuring growth opportunities for our people\n

The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

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If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please email astoncarteraccommodation@astoncarter.com for other accommodation options.

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