Regulatory Reporting Consultant
Largeton Group
Job Summary for Regulatory Reporting Consultant: BYC, NY Support remediation and control enhancements for key U.S. regulatory reporting functions, including LOPR, EBS, SEC Rule 606, and CAT. Conduct detailed data analysis to assess the completeness and accuracy of regulatory reports. Review end-to-end trade lifecycle events to identify reporting gaps, breaks, and root causes. Collaborate with Technology teams on requirements documentation, testing, and implementation of reporting fixes. Work closely with Compliance to interpret regulations, manage issues, and gather supporting evidence. Contribute to ongoing improvements in regulatory reporting processes, governance, and control frameworks. Utilize strong knowledge of securities products, trade lifecycle, and regulatory requirements. Communicate and coordinate effectively with cross-functional stakeholders (Technology, Compliance, Operations). Leverage prior experience in broker-dealer regulatory reporting and familiarity with U.S. regulatory regimes (SEC, FINRA, CAT NMS Plan, etc.) as a plus. Engage in remediation or control work related to LOPR, EBS, Rule 606, or CAT reporting. Base Pay Range $58.00/yr - $60.00/yr Seniority level: Entry level Employment type: Full-time Job function: Finance and Sales Industry: Information Services Location: New York, NY #J-18808-Ljbffr
Vacancy posted 2 days ago
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