EI
FINOP / Broker-Dealer Regulatory Reporting Consultant
Expert In Recruitment Solutions
🇺🇸 United States
On-site
4 months ago
4 months ago
Experience: 10 - 15 Years
Location: Downtown Manhattan, NY (Hybrid preferred – onsite at least 3 days/week)
Contract: 3-6 months
Downtown Manhattan, NY (Hybrid)
Job Description
Our client is seeking aFINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supportingself-clearing broker-dealers, including ownership ofFOCUS reporting,15c3-3 regulatory requirements, and related broker-dealer financial/regulatory obligations.
This engagement will support the organization while they conduct a permanent replacement search.
Responsibilities & Qualifications
- Supportbroker-dealer regulatory reporting activities within a self-clearing environment
- Prepare, review, and/or signFOCUS reports
- Support compliance withSEC Rule 15c3-3 and related broker-dealer regulations
- Partner with finance, operations, and compliance stakeholders
- Support regulatory reporting, capital computations, and reserve calculations
- Operate within a fast-paced financial services environment
Requirements
- Strongbroker-dealer regulatory reporting experience
- Experience within aself-clearing broker-dealer environment
- Hands-on experience withFOCUS reporting
- Strong understanding ofSEC Rule 15c3-3 and related regulatory requirements
- Prior experience signingFOCUS reports strongly preferred
- FINOP licensing/certification background preferred
FINOP / Broker-Dealer Regulatory Reporting Consultant · Expert In Recruitment Solutions