Regulatory Reporting SME - Atlas Search

We are working with a leading global financial institution is seeking a senior Regulatory Reporting SME to provide technical expertise on SEC broker-dealer reporting requirements and support regulatory compliance across a complex, multi-jurisdictional environment.

Responsibilitie

1. Serve as the subject matter expert on SEC broker-dealer regulations, including FOCUS Reporting, SEC Rules 15c3-1 and 15c3-3, and substituted compliance
2. Partner with Finance, Compliance, Legal, Risk, and Operations teams on regulatory interpretation, reporting requirements, and policy decisions
3. Support regulatory filings, reconciliations, controls, audits, and examinations
4. Monitor regulatory developments and assess business impacts
5. Drive process improvements, automation initiatives, and enhancements to reporting controls and data quality

Requiremen

1. 15+ years of regulatory reporting, accounting, or finance experience within a broker-dealer or securities trading environment
2. Strong knowledge of SEC broker-dealer regulations and substituted compliance framework
3. Bachelor's degree in Accounting or Finance
4. Advanced Excel skills and experience with reporting tools such as Axiom, Workiva, or similar platforms
5. Experience working in a global, cross-border environment
6. Knowledge of IFRS preferred