Job Description

Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c3-3 regulatory requirements, and related broker-dealer financial/regulatory obligations.

This engagement will support the organization while they conduct a permanent replacement search.

Responsibilities & Qualifications

• Support broker-dealer regulatory reporting activities within a self-clearing environment
• Prepare, review, and/or sign FOCUS reports
• Support compliance with SEC Rule 15c3-3 and related broker-dealer regulations
• Partner with finance, operations, and compliance stakeholders
• Support regulatory reporting, capital computations, and reserve calculations
• Operate within a fast-paced financial services environment

Requirements

• Strong broker-dealer regulatory reporting experience
• Experience within a self-clearing broker-dealer environment
• Hands-on experience with FOCUS reporting
• Strong understanding of SEC Rule 15c3-3 and related regulatory requirements
• Prior experience signing FOCUS reports strongly preferred
• FINOP licensing/certification background preferred
• Strong financial services and regulatory reporting background