Regulatory Project Manager -Broker Dealer compliance (SEC Rule 15c3-3)

Job Title: Senior Regulatory Project Manager- Broker Dealer compliance (SEC Rule 15c3-3) Job Location: New York, New York Job Type: Contract W‑2 Experience: 10 Years + A global bank is seeking a Regulatory Project Manager. The Regulatory Project Manager will bring 10+ years of relevant experience (or training equivalent) and familiarity with SEC Rule 15c3-3. The regulatory project manager will support the implementation of the SEC Rule 15c3-3 release. The objective is to ensure the successful completion of the project within the designated time frame, budgetary constraints, and quality standards established herein. Responsibilities Ensure the regulatory project is appropriately organized, tracked against goals, and implements sustainable solutions. Own the organization of the project with key stakeholders. Identify and mobilize internal stakeholders to work on the project. Ensure the project uses appropriate tools and follows applicable standards. Track expenditures with the business manager against budget and provide expense forecasting as required. Work collaboratively with key project stakeholders. Project Phases Organize: Establish structure and launch the regulatory project, considering goals, scope, and constraints. Implement: Finalize and execute deliverables within timelines, incorporate new regulatory events as warranted, conduct governance meetings, and provide regular updates to stakeholders. Close: Ensure effective transition to BAU using a closure checklist, capture all necessary steps, and obtain approval to close the project from governance forums. Sustainability: Monitor the sustainability of implemented processes or frameworks; strengthen accountability of 1st and 2nd line of defense functions and complement testing by internal audit. Qualifications 10+ years of relevant experience (or training equivalent) as a Regulatory Project Manager. Minimum bachelor’s degree from a reputable university with a good academic record. Experience with SEC regulations and broker‑dealer compliance. Experience using project management software. Ability to adapt and work in a changing environment. Logical and structured approach to planning, problem solving, and decision‑making. Proven ability to collaborate with partners across multiple disciplines and functions with very good interpersonal skills. Readiness to work in a global, fast‑paced environment under tight timelines to deliver high‑quality results. Good Microsoft Office skills – Excel, Word, Visio, and PowerPoint. Ability to anticipate issues and aggressively drive initiatives to achieve results. #J-18808-Ljbffr