Regulatory Reporting Associate (Contract)Location: Jersey City, NJ Duration: 12 months Pay Rate: $43–$61/hrRole SummaryThe Regulatory Reporting Associate will support the preparation, validation, and submission of regulatory filings in accordance with SEC and CFTC requirements, as well as internal policies.
The role ensures accurate, timely, and compliant reporting while contributing to control enhancements and process improvements within a global investment bank environment.Key ResponsibilitiesPrepare, review, and submit regulatory reports in compliance with SEC and CFTC regulations and internal policiesEnsure accurate, complete, and timely submission of all required regulatory filings to relevant authoritiesCollaborate with Finance, Operations, Risk, and other internal teams to gather, validate, and reconcile reporting dataMonitor regulatory updates and implement necessary changes to reporting processes and controlsSupport internal and external audits by providing documentation, analysis, and regulatory explanationsAssist in maintaining and enhancing internal controls over regulatory reporting processesIdentify and drive process improvements to improve accuracy, efficiency, and control effectivenessMaintain strong knowledge of accounting standards and financial reporting requirements relevant to regulatory reportingRequired Experience & Skills5+ years of experience in the Broker-Dealer industryStrong experience with regulatory reporting, including: SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Protection / Customer Reserve), CFTC reporting / FCM filingsStrong understanding of accounting principles and financial reporting standardsProven experience in regulatory reporting within financial servicesStrong analytical and problem-solving skills with attention to detailProficiency with financial reporting systems and toolsExcellent communication and stakeholder management skillsAbility to adapt to evolving regulatory requirements