Regulatory Compliance Consultant

2 weeks ago


Whippany, New Jersey, United States Emergent365 Full time

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.



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