Regulatory Reporting SME
Atlas Search New York, United StatesRegulatory Reporting SME
We are working with a leading global financial institution is seeking a senior Regulatory Reporting SME to provide technical expertise on SEC broker-dealer reporting requirements and support regulatory compliance across a complex, multi-jurisdictional environment.
Responsibilitie
- Serve as the subject matter expert on SEC broker-dealer regulations, including FOCUS Reporting, SEC Rules 15c3-1 and 15c3-3, and substituted compliance
- Partner with Finance, Compliance, Legal, Risk, and Operations teams on regulatory interpretation, reporting requirements, and policy decisions
- Support regulatory filings, reconciliations, controls, audits, and examinations
- Monitor regulatory developments and assess business impacts
- Drive process improvements, automation initiatives, and enhancements to reporting controls and data quality
Requiremen
- 15+ years of regulatory reporting, accounting, or finance experience within a broker-dealer or securities trading environment
- Strong knowledge of SEC broker-dealer regulations and substituted compliance framework
- Bachelor's degree in Accounting or Finance
- Advanced Excel skills and experience with reporting tools such as Axiom, Workiva, or similar platforms
- Experience working in a global, cross-border environment
- Knowledge of IFRS preferred
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