SEC Broker-Dealer Regulatory Reporting SME

Posted yesterday

atlas searchNew York (NY)

Regulatory Affairs Specialists Investment Banking and Securities Intermediation

SENIORITY

Senior

SALARY

$341,250 per year

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About the role

SEC Broker-Dealer Regulatory Reporting SME

About the Opportunity: Our client, a global investment bank, is seeking a technical SEC Broker-Dealer Regulatory Reporting Subject Matter Expert to support its UK-based entity’s U.S. security-based swap dealer reporting requirements. This is a one-year contract role that can sit in New York City or performed remotely. The base pay for this position is $75 to $175 per hour. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.

Job Responsibilities:

Interpret and apply SEC rules, including FOCUS reporting, Net Liquid Assets (NLA) calculations, Rule 15c3-1, and Rule 15c3-3, in the context of UK substituted compliance
Develop and maintain reporting policies, position papers, and technical memos, review trade and product reporting structures
Help build a strong governance framework benchmarked against market best practice
Design reconciliations and key controls, supporting audits and regulatory exams
Advise Compliance, Legal, Risk, Operations, and finance leadership on complex regulatory interpretations

Job Requirements:

5+ years of U.S. broker-dealer regulatory or financial reporting experience at the VP or Director level within financial services, preferably banking
Deep hands-on knowledge of FOCUS, NLA, 15c3-1, 15c3-3, and CFTC requirements is essential
Experience interpreting and implementing policy, driving process transformation, or working with UK legal entity reporting is a strong plus
Familiarity with IFRS, Workiva, Axiom, and BI tools is also valued

Please note: Official communication from Atlas Search or its employees will only come from email addresses ending in @atlassearchllc.com

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