What are the responsibilities and job description for the Regulatory Reporting Consultant position at Phyton Talent Advisors?
About the Role
Our client, a leading financial services firm, is seeking a Regulatory Reporting Consultant to support key broker dealer regulatory reporting and control functions. This individual will play a critical role in ensuring compliance with SEC and DSRO requirements, contributing to core regulatory filings, and enhancing reporting processes and controls within a highly visible finance and regulatory environment.
Responsibilities
- Assist with regulatory calculations for 15c3-1 Broker Dealer Net Capital, ensuring adherence to SEC and DSRO rules and internal regulatory policies on a daily, weekly, and monthly basis
- Support regulatory calculations for 15c3-3 Customer Reserve, maintaining compliance with SEC and DSRO requirements on a daily and monthly basis
- Contribute to the preparation of the monthly FOCUS report and supplemental schedules, including analysis of balance sheet and financial data
- Assist with ad hoc regulatory reporting, documentation requests, and process improvement initiatives
- Support regulatory control compliance under SEA Rule 17a-5, partnering with risk control teams and external auditors
- Identify opportunities to enhance regulatory reporting processes and strengthen control frameworks
- Maintain and evolve finance and regulatory control frameworks to ensure alignment with internal policies and SEA 17a-5 Internal Control Over Compliance requirements
- Develop and enhance controls and validation checks to mitigate risk in the reporting process
- Analyze and challenge key calculation inputs and outputs, partnering with stakeholders to validate results
Requirements
- Recent college graduate or up to 3 years of experience within the Broker Dealer industry
- Exposure to or familiarity with 15c3-1 Net Capital, 15c3-3 Customer Reserve, and FOCUS reporting preferred
- Working knowledge of SEA Rules 15c3-1, 15c3-3, 18a-1, and 17a-5, or strong aptitude and willingness to learn
- Understanding of accounting, financial products, regulatory frameworks, and operations within a Broker Dealer environment
- Strong technical skills, including Microsoft Office Suite and the ability to learn advanced tools such as AI platforms like Microsoft Copilot
- Effective project management, communication, and change management skills
- Strong analytical mindset with high attention to detail
- Ability to build relationships across teams while promoting a strong control environment and regulatory awareness
Salary : $45 - $50