Regulatory Reporting Consultant

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