Regulatory Reporting Consultant

Largeton Group; New York (NY); On-site; USD 79,900 - 82,656; Full time

Job summary

A prominent consultancy firm in New York is looking for a Regulatory Reporting Consultant to support the remediation and enhancement of key U.S. regulatory reporting functions. The ideal candidate will perform detailed data analysis, collaborate with technology and compliance teams, and contribute to the improvement of reporting processes. Strong knowledge of securities products and regulatory requirements is essential for success in this entry-level position.

Qualifications

• Strong knowledge of U.S. regulatory reporting functions.
• Experience in broker-dealer regulatory reporting.
• Familiarity with SEC, FINRA, and CAT reporting requirements.

Responsibilities

• Support remediation and control enhancements for regulatory reporting.
• Conduct detailed data analysis for regulatory reports.
• Collaborate with Technology and Compliance teams on requirements.

Skills

Data analysis

Communication

Regulatory knowledge

Problem-solving

Job description

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