SEC Broker-Dealer Regulatory Reporting SME

Atlas Search; New York (NY); Hybrid; USD 103,000 - 241,000; Full time

Job summary

Atlas Search seeks a SEC Broker-Dealer Regulatory Reporting SME 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 role requires deep knowledge of SEC rules (FOCUS, NLA, 15c3-1, 15c3-3) and CFTC requirements, plus experience in policy interpretation and governance, with exposure to IFRS, Workiva, and Axiom.

Qualifications

• 5+ years of U.S. broker-dealer regulatory or financial reporting experience at the VP or Director level within financial services
• 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

Responsibilities

• Interpret and apply SEC rules, including FOCUS reporting, 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

Skills

SEC reporting

FOCUS

NLA

15c3-1

15c3-3

CFTC rules

IFRS

Workiva

Axiom

BI tools

Tools

Workiva

Axiom

BI tools

Job description

SEC Broker-Dealer Regulatory Reporting SME

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 @atlassearchllc.com