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Regulatory Reporting Analyst

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Responsibilities: Assist in preparing the Focus and Supplemental Reports, (i.e., SLS, SSOI, OBS) Responsible for daily and month-end Net Capital […]

Responsibilities:

  • Assist in preparing the Focus and Supplemental Reports, (i.e., SLS, SSOI, OBS)
  • Responsible for daily and month-end Net Capital Calculations under SEC Rule 153c3-1 and monthly reconciliation to the balance sheet
  • Responsible for assisting in the preparation of the weekly and month end 15c3-3 and PAB Reserve calculations
  • Knowledge of Daily Futures Segregation and Secured 30.7 Calculations
  • Prepare month-end Suspense entries for balance sheet close
  • Short Interest Reporting
  • Monthly Finra Leverage Ratio
  • Assist in preparing the month end Focus analysis package presented to Senior Management
  • Assist in internal and external Regulatory exams and audits
  • Maintain and prepare Policies and Procedures
  • Special Project work regarding new Regulatory Rules

Qualifications:

  • Minimum of 7-10 years Regulatory work experience
  • Strong knowledge of Broker-dealer Regulatory Reporting (Rules 15c3-1 and 15c3-3)
  • Excellent Excel skills and strong knowledge of Regulatory Applications
  • Strong oral and written communication skills
  • Excellent organizational skills needed
  • Strong Team Player
  • B.S. Accounting or Finance Degree
  • Series 99 or Series 27 (a plus)

 

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HR Benefits Administrator/Operations Associate

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The HR Operations Associate will be responsible for planning and administering employee benefit programs, HRIS and employee data management as well […]

The HR Operations Associate will be responsible for planning and administering employee benefit programs, HRIS and employee data management as well as compliance and change management.  They will communicate with employees, resolve benefit-related issues, and collaborate with other departments and external vendors.  Assists employees with benefit questions and acts as a liaison between employees and vendors Management of HRIS system and communication with payroll to ensure all employee changes and data are maintained accurately.

Benefits:

  • Provides employees with information and explanation of benefit programs, plans, enrollment eligibility and related costs
  • Manages all benefit life event status changes, including COBRA, ensuring documentation is provided and information is complete/correct
  • Oversees annual benefit enrollment process, including preparing/updating all benefits materials
  • Ensure compliance with all benefit regulations.
  • Partner with vendors to resolve issues.
  • Maintains and updates HR intranet pages including benefits and employee and manager resource pages and home pages of HRIS system
  • Communication notices to employees as it relates to benefits to ensure compliance with applicable Federal and State regulations.
  • Assists in establishing, maintaining, and documenting insurance billing and reconciliation policies/procedures.
  • Completes weekly benefit funding, monthly reconciliation and processing of benefit carrier invoices timely and accurately, including medical/dental, 401k and FSA/Commuter accounts. Researches and resolves invoice and reconciliation discrepancies. Provides feedback to Finance and/or carriers on invoicing discrepancies. Makes any necessary process improvements needed to ensure efficiency and accuracy.
  • Administers the wellness program and wellness credits

HRIS:

  • Manage and maintain HRIS system to ensure accuracy and data integrity
  • Administer HRIS system reporting, generating reports and analysis as needed
  • Build out of additional HRIS functionality to improve the overall operations of the department
  • Manage employee change data and communication with payroll

Operations:

  • Onboarding for new hires through ADP and in person orientation sessions
  • Communicate and guide employees in relation to company policies and procedures
  • Background checks, new hire reporting

Education & Experience:

  • Bachelor’s degree, preferred;
  • Knowledge of benefit programs and ability to develop procedures and best practices related to HR and Benefit plan administration
  • Ability to process confidential and sensitive information with discretion.
  • Intermediate to advanced use of computers and Microsoft Office Suite Applications such as Word, Excel, Power Point, Outlook and applications related to Human Resources, Benefit and Payroll Administration.
  • ADP workforce now preferred
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CEO Office – Planning & Project Manager

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Description: Support the implementation of various special projects, including preparing presentation materials in Japanese and English, organizing and tracking the […]

Description:

  • Support the implementation of various special projects, including preparing presentation materials in Japanese and English, organizing and tracking the development of project documentation, and assisting Head of CEO Office in the presentation of such materials to Tokyo HQ
  • Manage and assist with the coordination of time sensitive committee meetings and agendas in collaboration with Front Office and Finance Department Senior Management
  • Assist with the planning and preparation of firm-wide employee communications on behalf of the CEO Office, DCMA Board of Directors, and Tokyo HQ
  • Act as a supporting liaison between DCMA and Tokyo HQ
  • Offer administrative support to the Head of CEO Office as well as the DCMA Chairman and CEO/President
  • Communicate and share knowledge of all open projects with other CEO Office staff

Qualifications:

  • Native Japanese w/ business level English required
  • Bachelor’s degree with 3-5 years of experience supporting internal management in the financial services industry; experience at a Japanese investment bank or brokerage firm ideal
  • Possesses basic knowledge about financial institution operations and understands the corporate culture
  • Superior collaboration and interpersonal skills; able to build and maintain strong relationships and credibility with Senior Management across multiple departments and Tokyo HQ
  • Ability to anticipate and accommodate the ongoing needs of Senior Management across multiple departments and Tokyo HQ
  • Highly organized and detail oriented; able to manage multiple priorities and meet multiple deadlines
  • Possesses professional integrity; displays a strong sense of accountability and responsibility
  • Ability to work independently and proactively as well as part of a team
  • Comprehensive knowledge of Microsoft Office programs including PowerPoint, Excel, Word, and Outlook
  • Excellent written and verbal communication skills

*This role will exist within a Hybrid work environment, with 3 days working at the office location and 2 days working remotely.

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Undergrad Intern Position – New York, NY

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Seeking a motivated intern who is ready to apply their knowledge to an authentic real-world experience. This individual would assist […]

Seeking a motivated intern who is ready to apply their knowledge to an authentic real-world experience. This individual would assist in a wide range of duties, including analyzing data, which would be ideal for a college student to perform on a part-time basis during school sessions.

Qualifications:

  • Some of the key qualifications of the college intern candidate include the following:
  • A highly motivated student who has a strong desire to acquire “hands-on” experience in a broker/dealer environment;
  • Freshman or sophomore student enrolled in a local undergraduate Business program with a concentration in Finance;
  • Bright/articulate individual with a history of academic accomplishments (GPA 3.0 or higher);
  • Commitment of 20 hours per week to perform ongoing responsibilities. Hours could be expanded during school vacation periods;
  • Strong interpersonal skills to function effectively in a team environment; and
  • Working knowledge of Microsoft applications, including Word, Excel, etc.

Candidate must have good verbal and written communication skills as the individual will interact with employees throughout the organization.

Or send your resume & cover letter to:

Christine Camello
Director | Human Resources
careers@us.daiwacm.com

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