Fidelity

Fidelity

Posted via Workday

Senior Financial Analyst, Regulatory Reporting

Posted Oct 20, 2026

Role at a glance

Job function
Accounting, Tax & Corporate Finance Investor Relations & Regulatory Reporting
Salary
Checking details Salary details are being checked. See the description for the employer's terms.
Location
Westlake, Texas, United States
Employment
Full-time
Experience
Checking details Experience requirements are being checked. See the qualifications below.
Education
Bachelor's

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About the role

Original posting provided by Fidelity

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Fidelity will not provide immigration sponsorship for this position.

Job Description:

The Role

The Senior Financial Analyst will be responsible for coordinating the group with the Daily Reserve Computation under SEA Rule 15c3‑3 and the Monthly Net Capital Reporting under SEA Rule 15c3‑1. The role will also steer key daily responsibilities, including monitoring critical balance movements, performing reconciliations, and ensuring data completeness and accuracy across regulatory reporting workflows. The Senior Financial Analyst will work closely with internal teams to research and resolve exceptions, maintain process documentation, and contribute to ongoing enhancements that strengthen reporting controls and efficiency. FINRA Series 99 registration is preferred. Individuals not already licensed must successfully obtain the Series 99 license within six (6) months of their start date.


The Expertise and Skills You Bring

  • Bachelor’s degree in finance, Accounting, or related field required.
  • Strategic thinker who can take an end-to-end view of an issue and develop multiple solutions
  • Advanced proficiency with Microsoft Office applications, including Excel, PowerPoint, Word, and Access, as well as reporting tools such as Business Objects; demonstrated ability to develop financial models and support complex reporting and analytical processes.
  • Excellent written and verbal communications skills, including the ability to communicate effectively with business partners at varying levels of the organization
  • Demonstrated ability to work in a fast-paced, deadline driven organization with a desire to drive projects to completion
  • Flexible, self-motivated individual that will bring energy, enthusiasm, and intellectual curiosity to the role
  • Excellent problem-solving skills; prioritizing work, breaking down issues, taking an end-to-end view, and proposing alternative solutions.
  • Ability to manage and prioritize multiple detailed processes in a time sensitive environment.

The Team

Fidelity’s Regulatory Reporting team is a critical function that is responsible for the firm’s SEC and FINRA reporting obligations as they pertain to its regulated broker dealers, including National Financial Services, LLC. This group performs daily Reserve computations as required under SEA Rule 15c3-3 for the protection of Customer assets, monitors Net Capital requirements as required under SEA Rule 15c3-1, and is responsible for the reconciliation of all cash banking activities for the firm.  In close partnership with Controllers, Compliance, Operations and other functional groups, this team acts as a key control function for the firm’s financial reporting obligations.

Fidelity’s Onsite Working Model
Fidelity is transitioning to a full-time onsite working model through a phased rollout across regions and roles. Currently, some roles and locations require 100% onsite presence, while others require less. Onsite expectations are likely to evolve as the rollout continues. This transition does not apply to fully remote roles.

Certifications:

Series 99 - FINRA

Category:

Finance

Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.

Fidelity

About the company

Fidelity

Large Enterprise

Fidelity is a leading financial services company that provides a wide range of investment solutions and retirement planning services to individuals and institutions. Founded in 1946, Fidelity is renowned for its commitment to innovation and customer service, offering tools and resources that help clients manage their investments effectively. With a strong focus on technology and research, Fidelity continues to empower investors by providing access to market insights and a diverse array of financial products. As a trusted partner in personal finance, Fidelity plays a significant role in helping people achieve their financial goals.