SEC Broker-Dealer Regulatory Reporting SME
Atlas Search
We're hiring a Regulatory Reporting SME to support a UK-based entity finance team on U.S. security-based swap dealer reporting. You'll own the technical side of FOCUS reporting, NLA calculations, and SEC Rules 15c3-1 and 15c3-3 - including how they apply under UK substituted compliance and help build out the governance and policy framework around them. You'll: Serve as SME on FOCUS, NLA, and SEC Rules 15c3-1/15c3-3 Interpret regulations in the context of UK substituted compliance Draft reporting policies, technical memos, and position papers Review reconciliations and strengthen financial controls Partner with Compliance, Legal, Risk, and Ops on regulatory interpretation You have: 5+ years in U.S. broker-dealer regulatory reporting Hands-on FOCUS, NLA, and 15c3-1/15c3-3 experience CFTC reporting knowledge; IFRS/US GAAP fluency UK or cross-border reporting experience a plus VP/Director level, banking background preferred #J-18808-Ljbffr Atlas Search
Vacancy posted 2 days ago
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