Austin Walker

• Own end‑to‑end monthly regulatory deliverables supporting SEC Rules 15c3‑3 and 15c3‑1, ensuring accurate, complete, and timely FOCUS reporting through strong controls, cross‑functional coordination, and expert oversight of key capital and reserve computations.

• Key contributor to the implementation of the firm’s enhanced Customer Reserve (15c3‑3) calculation system, driving process efficiency, strengthening controls, and ensuring completeness and alignment with industry‑wide regulatory initiatives.

• Prepare the daily Customer Reserve Formula (SEC Rule 15c3‑3) calculation, ensuring accuracy, completeness, and proper segregation requirements.

Implemented targeted control checks to enhance data integrity and accuracy across FINRA filings and supplemental schedules.

• Prepare comprehensive audit packages and serve as a key liaison to internal and external auditors, ensuring timely responses to inquiries and clear documentation of regulatory reporting processes.

• Ensure appropriate cash collateral is agreed & transacted with counterparties on the daily basis.
• Oversee daily exposures due to market fluctuations ensuring the appropriate collateral is exchanged to meet regulatory requirements.
• Perform reconciliation processes daily for cash variances for multiple counterparties.
• Ensure lending accounts are sufficient for trades to settled in the market.
• Liaise with custodian to resolve security breaks to mitigate risk to client investment portfolios.
• Oversee Securities Lending suspense account ensuring cash collateral items are documented.
• Build a rapport, maintain relationship & partnership with other company colleagues such as custodian & counterparties daily.

• Develop excel macro for BAU process to mitigate manual entry errors; to ensure quality products are being delivered to clients.
• Analyzed price exceptions from vendor sources including Bloomberg, Reuters, ICE, SIX, and Pricing Direct to ensure accurate pricing.
• Ensuring securities in client accounts are accurately priced.
• Processed and reviewed daily pricing tasks to consistently meet hourly SLAs.
• Key liaison to resolve intra-day pricing queries escalated by clients and cross functional teams to meet deliverables.
• Assisted in maintenance projects to enhance daily pricing accuracy and streamline data cleanup.

• Support conversion for new clients and existing migrations.
• Perform complex general accounting functions, including preparation of journal entries, account analysis and balance sheet reconciliations.
• Managed outsourced valuation data gathering for all strategic investments, reviewing internal portfolio records and related calculation returns.
• Daily responsibilities included running financial statements and reports, auditing financial reports, cash reconciliation, booking trades, income and expense adjustments, income distribution calculations.