EI
Regulatory Reporting Consultant
Expert In Recruitment Solutions
🇺🇸 United States
On-site
Mid level
7 months ago
- EBS
- Regulatory Compliance
7 months ago
Not enough detail in this posting to match
Location: New York City, NY (3 days onsite – locals only )
Contract: 6 months (Start Date: asap)
Overview
Our client, a top-tier management consulting firm, is seeking an experienced Regulatory Reporting Consultant to support reporting remediation and strengthen controls across key broker-dealer regulatory areas including LOPR, EBS, Rule 606, and CAT. You will work cross-functionally with technology, compliance, and operations teams to ensure reporting accuracy and regulatory compliance.
Key Responsibilities
- Support end-to-end remediation of regulatory reporting issues across LOPR, EBS, Rule 606, and CAT.
- Collaborate with technology, compliance, and operations teams to assess reporting gaps, implement controls, and validate system fixes.
- Conduct detailed data analysis to identify root causes and validate reporting outputs for regulatory compliance.
- Enhance existing reporting processes, documentation, and oversight frameworks.
- Assist in planning, coordination, testing, and rollout of reporting changes with cross-functional stakeholders.
Required Skills & Experience
- Strong knowledge of securities, financial products, and the full trade lifecycle.
- Hands-on experience with data analysis, reconciliation, and issue investigation.
- Ability to work closely with technology, compliance, and operational teams.
- Prior experience within broker-dealer regulatory reporting environments.
- Familiarity with U.S. regulatory reporting regimes, particularly:
- LOPR (Large Options Positions Reporting)
- EBS (Electronic Blue Sheets)
- Rule 606 (Order Routing Disclosure)
- CAT (Consolidated Audit Trail)
Regulatory Reporting Consultant · Expert In Recruitment Solutions