Senior Consultant

1 week ago

Wilmington, North Carolina, United States Emergent365 Full time

Position: Senior Consultant – Broker Dealer Regulatory Reporting

Company: Emergent365

Location: Hybrid Work Model

Experience Level: 10+ years (VP Equivalent)

Contract Duration: 6-8+ months

Job Overview:

Emergent365 is seeking a highly experienced Senior Consultant to enhance our Regulatory Reporting team. This role is pivotal in managing the US Broker Dealer operations, specifically focusing on the computation of Net Capital in compliance with SEC Rule 15c3-1. The successful candidate will temporarily assume leadership responsibilities during a team member's parental leave.

Key Responsibilities:

  • Leadership: Effectively delegate tasks and responsibilities to ensure the team's optimal performance and timely delivery of regulatory obligations.
  • Regulatory Reporting: Supervise the preparation and accuracy of Net Capital computations and various regulatory submissions, including the monthly FOCUS report.
  • Risk Management: Develop and maintain robust controls and procedures to minimize risks associated with regulatory reporting.
  • Stakeholder Engagement: Act as a primary contact for regulatory audits and internal inquiries, ensuring effective communication across departments.

Essential Qualifications:

  • Minimum of 10 years of experience in Regulatory Reporting.
  • At least 5 years of experience in the US Broker Dealer sector.
  • In-depth knowledge of Net Capital calculations per SEC Rule 15c3-1.
  • Familiarity with regulatory bodies such as SEC, FINRA, CFTC, and CME.

About the Department:

The Regulatory Reporting team at Emergent365 is integral to our Financial Control function, ensuring compliance with financial responsibility rules set forth by regulatory authorities. This team interprets broker dealer regulations and provides guidance on transactions and product developments that may impact customer protection and regulatory compliance.

Core Competencies:

  • Expertise in SEC/FINRA Broker Dealer Regulatory Reporting.
  • Understanding of operational records and settlement processes within a broker dealer environment.
  • Strong analytical skills and attention to detail.
  • Ability to foster relationships across various teams and levels of management.

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