SEC Broker-Dealer Regulatory Reporting SME
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-09-04
Listing for:
Atlas Search
Full Time
position Listed on 2026-09-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Reporting
Job Description & How to Apply Below
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
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