Michael Rukin Email & Phone Number

New York, NY, US

New York, NY, US

Advisory Compliance

• Subject matter expert on many components of the SEC Financial Responsibility Rules including the safeguarding of customer protection assets (15c3-3)
• Responsible for communicating with senior management of Operations, Controllers and Global Securities Services on the firm’s regulatory compliance with SEC Rule 15c3-3 “Possession and Control Rule”, provides internal.
• Performs rootcause analysis on segregation deficits and violations to ensure maximum compliance with the rule, performs various reconciliations for unregulated entities
• Provide expertise and advice on securities lock-ups, margin rates, margin leases and proprietary or customer owned stock to managers of teams within the Corporate Actions, Settlements, Stock Loan Operations, Prime.
• Support the Security Lending desk in minimizing the firm’s exposure for securities in deficit and reducing overnight borrowing costs by ensuring.
• Manage a relationship and a point of escalation with the Trade Management, Settlements, and Client services divisions to ensure settlement of “fully paid for” positions.

New York, NY, US

• Reviewed and prepared all financial statements in accordance with U.S. generally accepted accounting principles.
• Analyzed financial reporting schedules of budget to actual performance.
• Provided commentary to senior management regarding quarterly variances in financial information.
• Responsible for preparing and reconciling financial information for foreign currency translation adjustments in accordance with Accounting Standard Codification 830 (previously Statement of Financial Accounting.
• Coordinated with foreign offices in financial reporting issues and ad hoc requests.

Bachelor, Accounting

Education record