SEC Broker-Dealer Regulatory Reporting SME
Listed on 2026-10-04
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Financial Reporting
About the Opportunity
Our client, a global investment bank, is seeking a technical SEC Broker-Dealer Regulatory Reporting Subject Matter Expert to support its UK-based entity’s U.S. security-based swap dealer reporting requirements. This is a one-year contract role that can sit in New York City or performed remotely.
The base pay for this position is $75 to $175 per hour. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.
Job Responsibilities
- Interpret and apply SEC rules, including FOCUS reporting, Net Liquid Assets (NLA) calculations, Rule 15c3-1, and Rule 15c3-3, in the context of UK substituted compliance
- Develop and maintain reporting policies, position papers, and technical memos, review trade and product reporting structures
- Help build a strong governance framework benchmarked against market best practice
- Design reconciliations and key controls, supporting audits and regulatory exams
- Advise Compliance, Legal, Risk, Operations, and finance leadership on complex regulatory interpretations
Job Requirements
- 5+ years of U.S. broker-dealer regulatory or financial reporting experience at the VP or Director level within financial services, preferably banking
- Deep hands-on knowledge of FOCUS, NLA, 15c3-1, 15c3-3, and CFTC requirements is essential
- Experience interpreting and implementing policy, driving process transformation, or working with UK legal entity reporting is a strong plus
- Familiarity with IFRS, Workiva, Axiom, and BI tools is also valued
Please note:
Official communication from Atlas Search or its employees will only come from email addresses ending in
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).