Bank of America Broker Dealer Regulatory Reporting Senior Regulatory Reporting Controller in Charlotte, North Carolina

Job Description:

Enterprise Role Overview:

Reviews legal entity P&L, balance sheet, liquidity, capital and FX reports filed with the local regulators and challenges variance analysis. Reviews periodic regulatory calculations and control processes for local regulated entities including: Banks, Broker Dealers and other legal entities. Reviews/approves data submissions for regulatory reporting teams.


  • Senior Regulatory Controller for Merrill Lynch Professional Clearing Corp (MLPCC) oversight role – Vice President / Assistant Vice President (Based on Experience)

  • Review and signing off on daily and monthly 15c3-1 and 15c3-3 Capital computation and Customer reserve

  • Responsible for the review of all MLPCC procedures and control documentation

  • Responsible for responding to queries from Business Partners related to the daily 15c3-1 and 15c3-3 capital computation and customer reserve

  • Interacting and providing support to FINRA, SEC, internal and external auditors

  • Review and preparation of month end MLPCC FOCUS Reporting

  • Assist in team development and training

Required Skills:

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

  • 8-10 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

This position is posted as aSenior Regulatory Reporting Controllerbut is flexible to be filled as aRegulatory Reporting Controller IIif the posted qualifications are met by a strongRegulatory Reporting Controller IIlevel applicant.

Posting Date : 04/16/2018

Location :


  • United States

Travel : No

Full / Part-time : Full time

Hours Per Week : 40

Shift : 1st shift

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