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 15c 3-1, and Rule 15c 3-3, 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, 15c 3-1, 15c 3-3, 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

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