SEC Broker Dealer Reporting

A leading global securities firm — part of a major international banking group with capital markets, credit, rates, equities, and structured products businesses — is looking for a Regulatory Reporting SME to join its finance team. This role serves as the technical regulatory reporting expert supporting U.S. security-based swap dealer reporting requirements for a UK-based entity finance team. You'll interpret SEC regulations, ensure accurate regulatory reporting, help develop the governance framework around U.S. regulatory reporting, and provide subject matter expertise across U.S. regulatory reporting frameworks. What you'll do: Regulatory Accounting & Reporting Provide technical expertise on SEC broker-dealer regulatory reporting requirements Interpret and apply SEC security-based swap-dealer regulations, including FOCUS Reporting, Net Liquid Assets (NLA) calculations, SEC Rule 15c3-1 (Net Capital Rule), and SEC Rule 15c3-3 (Customer Protection Rule) — in the context of UK substituted compliance requirements Review regulatory requirements from U.S. regulators, including the SEC and CFTC Support preparation and review of financial and regulatory filings submitted to U.S. regulators Develop and maintain reporting policies, regulatory documentation, position papers, and technical memos to support governance around the reporting process Review trade and product reporting structures to assess accuracy of regulatory reporting and eligibility of assets within the U.S. regulatory reporting suite Controls & Governance Design and review reconciliations supporting regulatory reporting Develop and maintain key financial controls Support internal and external audits and regulatory examinations Monitor regulatory developments and update reporting policies and procedures accordingly Business Partnership Partner with Compliance, Legal, Risk, Operations, and Finance teams on regulatory interpretations Provide technical guidance to finance leadership and senior stakeholders Support issue resolution involving complex regulatory accounting matters What you'll need: Bachelor's degree in Accounting or Finance 5+ years of U.S. broker-dealer regulatory reporting or financial reporting experience Deep knowledge of FOCUS Reporting, NLA calculations, UK substituted compliance, CFTC reporting requirements, and SEC Rules 15c3-1 and 15c3-3 Strong understanding of IFRS and U.S. regulatory accounting Advanced Excel skills Experience with Workiva, Axiom, and Business Intelligence reporting tools Excellent analytical and communication skills #J-18808-Ljbffr Atlas Search