FINOP / Broker-Dealer Regulatory Reporting Consultant
TheStaffed
FINOP / Broker-Dealer Regulatory Reporting Consultant
Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS 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
- Support broker-dealer regulatory reporting activities within a self-clearing environment
- Prepare, review, and/or sign FOCUS reports
- Support compliance with SEC 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
- Strong broker-dealer regulatory reporting experience
- Experience within a self-clearing broker-dealer environment
- Hands-on experience with FOCUS reporting
- Strong understanding of SEC Rule 15c3-3 and related regulatory requirements
- Prior experience signing FOCUS reports strongly preferred
- FINOP licensing/certification background preferred
- Strong financial services and regulatory reporting background
Vacancy posted 6 days ago
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