Overview
Finance Associate (Investment Bank) Jobs in New York, NY at Phyton Talent Advisors
Title: Finance Associate (Investment Bank)
Company: Phyton Talent Advisors
Location: New York, NY
We are seeking a detail-oriented Regulatory Finance Associate to join a dynamic finance and regulatory team within a leading broker-dealer environment. This is an excellent opportunity for a recent graduate or early-career professional to gain hands-on exposure to regulatory reporting, financial controls, and capital markets operations.
You will play a key role in supporting regulatory calculations, reporting processes, and control frameworks while working closely with Finance, Risk, and Compliance teams.
Key Responsibilities
Regulatory Reporting & Production
- Assist in the preparation and calculation of Net Capital (SEC Rule 15c3-1) on a daily, weekly, and monthly basis
- Support Customer Reserve (SEC Rule 15c3-3) calculations and related regulatory requirements
- Contribute to the preparation of FOCUS reports and supplemental regulatory filings
- Perform balance sheet and financial data analysis to support reporting accuracy
- Assist with ad hoc regulatory reporting requests, documentation, and process improvement initiatives
Regulatory Controls & Risk
- Support compliance with SEA Rule 17a-5 and assist with internal and external audit requests
- Help maintain and enhance regulatory control frameworks and procedures
- Identify opportunities to improve reporting processes, controls, and efficiencies
- Assist in developing checks and controls to ensure data accuracy and mitigate risk
- Analyze and validate key inputs and calculations, escalating discrepancies as needed
Qualifications
- Bachelor’s degree in Finance, Accounting, Economics, or related field
- 0–3 years of experience (internships or entry-level experience in financial services or accounting preferred)
- Exposure to or interest in broker-dealer regulations such as 15c3-1 (Net Capital), 15c3-3 (Customer Reserve), FOCUS reporting, or similar
- Strong interest in regulatory reporting, financial controls, and capital markets
- Proficiency in Microsoft Excel and Office Suite (advanced Excel is a plus)
- Familiarity with tools like Microsoft Copilot or other AI tools is a plus
- Strong analytical skills and attention to detail
- Excellent communication skills and ability to work in a collaborative, team-oriented environment
