Regulatory Compliance Consultant
2 weeks ago
Position Overview:
Emergent365 is seeking a seasoned consultant to enhance our Regulatory Reporting team, focusing on the US Broker Dealer sector. This role is pivotal in ensuring compliance with regulatory standards and financial responsibilities.
Location: Hybrid work model with required onsite presence.
Experience Level: Minimum of 5 years in Regulatory Reporting, equivalent to an AVP role.
Contract Duration: 6-8 months.
Key Responsibilities:
- Contribute to the computation of Net Capital in alignment with SEC Rule 15c3-1.
- Prepare and oversee various regulatory filings and submissions.
- Engage in regulatory examinations and support external audits.
- Implement process enhancements to boost the efficiency and accuracy of regulatory reporting.
Essential Qualifications:
- 5+ years of experience in Regulatory Reporting.
- Proficient in Net Capital calculations and FOCUS reporting.
- In-depth knowledge of SEC and FINRA regulations.
- Familiarity with 15c3-3 Customer Reserve and CFTC segregation requirements is advantageous.
Desired Skills:
- Strong analytical skills with meticulous attention to detail.
- Ability to independently manage tasks and escalate issues as necessary.
- Effective communication skills for interaction with senior management and regulatory bodies.
This role offers a unique opportunity to contribute to a critical function within the financial sector, ensuring compliance and enhancing operational efficiency.
-
Regulatory Compliance Analyst
2 weeks ago
Whippany, New Jersey, United States Iris Software Inc. Full timePosition: Regulatory Compliance AnalystLocation: Remote/HybridThe core responsibility of the Financial Control division is to guarantee that Iris Software Inc. delivers precise and timely financial and regulatory disclosures for all its subsidiaries and branches, adhering to the statutory and regulatory obligations set forth by governing bodies and external...
-
Compliance Business Analyst
1 day ago
Whippany, New Jersey, United States New York Technology Partners Full timeJob Title: Compliance Business AnalystLocation: Remote (Hybrid work arrangement)Position Type: Contract positionTotal experience: 12+ YearsJob Description:Key Responsibilities:Gather, analyze, validate, and manage business requirements to ensure regulatory compliance.Develop clear and concise requirements specification documents using structured analysis...
-
Senior Vice President of Regulatory Affairs
2 weeks ago
Whippany, New Jersey, United States TSR Consulting Services, Inc. Full timePosition Overview:The role of Senior Vice President of Regulatory Affairs is critical in overseeing the regulatory compliance functions within the financial sector. This position is responsible for ensuring that all financial and regulatory reporting obligations are met for various subsidiaries and branches.Key Responsibilities:Regulatory Oversight: Ensure...
-
Model N Product Consultant Techno functional
2 months ago
Whippany, New Jersey, United States Cognizant Full timeAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at The role is encouraged to drive technology discussions and analyze the current landscape for gaps in...
-
US Basel IV Regulatory Capital Vice President
15 hours ago
Whippany, New Jersey, United States Barclays Full timeJob SummaryWe are seeking a highly skilled and experienced professional to join our team as a US Basel IV Regulatory Capital Vice President. This is a senior leadership role that requires a deep understanding of regulatory capital requirements and a proven track record of managing complex risk-weighted assets.Key ResponsibilitiesRegulatory Capital...
-
Risk Analysis Consultant
2 weeks ago
Whippany, New Jersey, United States Cognizant Full timeCognizant (Nasdaq: CTSH) is at the forefront of engineering modern enterprises. Our mission is to assist clients in upgrading their technological frameworks, rethinking operational processes, and transforming user experiences to maintain a competitive edge in an ever-evolving landscape. Cognizant is seeking a proactive individual to challenge conventional...
-
AVP - Wholesale Lending Specialist
5 days ago
Whippany, New Jersey, United States Barclays Full timeJob SummaryWe are seeking an experienced AVP to join our Wholesale Lending team at Barclays. The successful candidate will be responsible for supporting day-to-day processing, reviewing, reporting, trading, and issue resolution in Wholesale Lending.Key ResponsibilitiesSupport Wholesale Lending InitiativesProcess, review, report, trade, and resolve issues in...
-
Client Reference Data Specialist
5 days ago
Whippany, New Jersey, United States New York Technology Partners Full timeAbout the RoleNew York Technology Partners is seeking an experienced Client Reference Data Specialist to join our team. As a key member of our organization, you will play a critical role in transforming our wholesale banking onboarding and KYC processes.Key ResponsibilitiesGather and understand business requirements from stakeholders and ensure all...
-
Project Director
3 days ago
Whippany, New Jersey, United States Joulé Full timeJob SummaryWe are seeking a highly skilled and experienced Project Manager to oversee the entire packaging operation and serve as the primary liaison with customers.Key ResponsibilitiesProject Planning: Develop detailed project plans, including scope, objectives, timelines, and resource allocation. Establish clear project goals and deliverables.Execution &...
-
AVP - Lending Process Improvement Manager
7 days ago
Whippany, New Jersey, United States Barclays Full timeJob DescriptionPurpose of the RoleTo support the Wholesale Lending division with day-to-day processing, reviewing, reporting, trading, and issue resolution, utilizing lending technical expertise.Key AccountabilitiesSupport the Wholesale Lending team with day-to-day initiatives, including processing, reviewing, reporting, trading, and issue resolution.Monitor...
-
Senior Messaging Engineer
2 days ago
Whippany, New Jersey, United States Barclays Full timeAbout the RoleWe are seeking a highly skilled Senior Messaging Engineer to join our team at Barclays. As a key member of our Collaboration Services team, you will be responsible for designing and developing solutions to complex organizational email infrastructure, incidents, system administration issues, and network concerns.Key ResponsibilitiesDesign and...
-
Operations Director
7 days ago
Whippany, New Jersey, United States CoWorx Staffing Full timeOperations Manager Job DescriptionWe are seeking a highly skilled Operations Manager to join our team at CoWorx Staffing. The ideal candidate will have strong leadership skills, a proven track record of success, and a passion for driving business results.Key Responsibilities:Drive Business Results: Monitor Key Performance Indicators (KPIs) and develop and...
-
Assistant Vice President of Trade Operations
2 weeks ago
Whippany, New Jersey, United States Barclays Full timePosition Overview:The role of the AVP Trade Specialist at Barclays is pivotal in advancing our digital transformation initiatives, focusing on innovation and operational excellence. Key Responsibilities:- Leverage state-of-the-art technology to enhance our trade services, ensuring exceptional client experiences.- Preferred qualifications include expertise in...
-
Senior Messaging Solutions Engineer
1 week ago
Whippany, New Jersey, United States Barclays Full timePosition Overview:As a Senior Messaging Solutions Engineer, you will be instrumental in shaping the email infrastructure for a leading financial services organization. Your expertise will guide the design and implementation of robust solutions addressing complex email systems, incidents, and administrative challenges.Key Responsibilities:Design and develop...
-
Regulatory Specialist
1 month ago
Whippany, United States Iris Software Inc. Full timePosition: Regulatory Reporting SpecialistLocation: Whippany NJ (Hybrid)The primary function of Financial Control is to ensure that B-delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches, meeting the statutory and regulatory requirements of the entity boards, regulators and external auditorsAbout Financial...
-
Regulatory Reporting Broker Dealer
1 month ago
Whippany, United States Emergent365 Full timeNO 3rd PartiesPosition: Sr Consultant – Broker Dealer Regulatory ReportingCompany: Financial Firm Location: Whippany, NJ – hybrid onsite 2 days/wk Level: 10+ years (VP Equivalent)Length: 6-8+ monthsJob Summary: Financial firm in Whippany, NJ is seeking a Sr Consultant to join their Regulatory team to support US Broker dealer business. Will assume role of...
-
Regulatory Reporting
1 month ago
Whippany, United States Emergent365 Full timeConsultant – Broker Dealer RegulatoryFinancial FirmWhippany NJ – hybrid onsite 2 days/wkLevel: 5+ years (AVP Equivalent)6-8monthsJob Summary:Financial firm in Whippany NJ is seeking a consultant to join their Regulatory team to support US Broker dealer business. Will contribute to the critical function of computing Net Capital in accordance with SEC Rule...
-
Broker Dealer Regulatory
1 month ago
Whippany, United States Randstad USA Full timeAbout Financial ControlThe primary function of Financial Control is to ensure that B-delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches, meeting the statutory and regulatory requirements of the entity boards, regulators and external auditorsAbout Financial Control – US Broker Dealer Regulatory ReportingUS...
-
AVP, Regulatory Reporting Analyst
3 weeks ago
Whippany, United States Barclays Full timeJob Description Purpose of the role To gather, analyse, and present risk data in a clear and concise manner to stakeholders across the organisation, facilitating informed decision-making, risk mitigation, and regulatory compliance. Accountabilities Development and maintenance of a variety of risk reports, including credit, market, operational, and liquidity...
-
AVP Broker Dealer Regulatory
1 month ago
Whippany, United States Allere Full timeJob DescriptionJob DescriptionAt ALLERE GROUP, we pride ourselves in creating the perfect match for our candidates. We work tirelessly to build relationships with top companies across the nation, so we always have exciting opportunities for the right candidates. If you are excited about emerging technologies and would love to be a part of a progressive...
-
Compliance Business Analyst
3 days ago
Whippany, United States New York Technology Partners Full timeRole : Compliance Business Analyst Duration : Long Term Contact Location : Whippany, NJ Hybrid Compliance Business Analyst with knowledge in delivering Compliance and Regulatory programs in the Compliance IT space (Trade surveillance and Control Room Surveillance), This position will operate across the Global Compliance Technology arm of the bank, with the...
-
Vice President
1 month ago
Whippany, United States TSR Consulting Services, Inc. Full timeVP Broker Dealer Regulatory6-8 months contract -Whippany NJPay $90-120 an hour on w-2 or CorpOpen to All VisasJob :80209Job description: VP Broker Dealer Regulatory About Financial Control The primary function of Financial Control is to ensure that B- delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches,...
-
VP Broker Dealer Regulatory
1 month ago
Whippany, United States Randstad USA Full timeAbout Financial ControlThe primary function of Financial Control is to ensure that B- delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches, meeting the statutory and regulatory requirements of the entity boards, regulators and external auditorsAbout Financial Control – US Broker Dealer Regulatory ReportingUS...
-
VP - Broker Dealer Regulatory
1 month ago
Whippany, United States Allere Full timeJob DescriptionJob DescriptionAt ALLERE GROUP, we pride ourselves in creating the perfect match for our candidates. We work tirelessly to build relationships with top companies across the nation, so we always have exciting opportunities for the right candidates. If you are excited about emerging technologies and would love to be a part of a progressive...
-
Assistant to Vice President
1 month ago
Whippany, United States TSR Consulting Services, Inc. Full timeAVP Broker Dealer Regulatory6-8 months -Whippany NJHybrid 2 days onsitePay $65-75 an hourJob id 80210Open to all VisasJob description: AVP Broker Dealer RegulatoryAbout Financial Control The primary function of Financial Control is to ensure that B-delivers timely and accurate financial and regulatory reporting for all B- subsidiaries and branches, meeting...
-
Broker-Dealer Regulatory Reporting
3 weeks ago
Whippany, United States Randstad Enterprise Full timeJob title - Broker Dealer Regulatory - VPLocation: Whippany, NJ onsite 2 days per weekContract length: 6 months initially Rate: $99-120 per hour Randstad Sourceright, a leading provider of RPO & MSP Recruitment Services is currently recruiting for a Broker Dealer Regulatory VP to work for a global leader in banking / financial services. The Role:This...
-
Model N Product Consultant Techno functional
1 month ago
Whippany, United States Cognizant Full timeAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.com The role is encouraged to drive technology discussions and analyze the current landscape...
-
Model N Product Consultant Techno functional
1 month ago
Whippany, United States Cognizant Full timeAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.com The role is encouraged to drive technology discussions and analyze the current landscape...
-
Model N Product Consultant Techno functional
2 months ago
Whippany, United States Cognizant Full timeAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.com The role is encouraged to drive technology discussions and analyze the current landscape...
-
Model N Product Consultant Techno functional
1 week ago
Whippany, United States Cognizant Full timeJob DescriptionAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.com The role is encouraged to drive technology discussions and analyze...
-
Model N Product Consultant Techno functional
2 months ago
Whippany, United States Cognizant Full timeAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.com The role is encouraged to drive technology discussions and analyze the current landscape...
-
Model N Product Consultant Techno functional
1 month ago
Whippany, United States Cognizant Full timeAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.com The role is encouraged to drive technology discussions and analyze the current landscape...
-
Model N Product Consultant Techno functional
2 days ago
whippany, United States Cognizant Full timeJob DescriptionAbout Us:Cognizant (Nasdaq: CTSH) engineers modern businesses. We help our clients modernize technology, reimagine processes and transform experiences so they can stay ahead in our fast-changing world. Together, we're improving everyday life. See how at www.cognizant.comThe role is encouraged to drive technology discussions and analyze the...
-
Compliance & Risk Business Analyst
3 days ago
Whippany, United States New York Technology Partners Full timeJob Title: Compliance & Risk Business AnalystLocation: Whippany, NJ (Hybrid)Position: Contract Job Description:This position will operate across the Global Compliance Technology arm of the bank, with the aim of ensuring that all regulatory, risk and control functions within the bank comply with new or amended regulatory requirements.We are looking to add an...