Emergent Inc

Regulatory reporting team in a financial firm seeking a VP level Reg Reporting Specialist with expertise in SEC, FINRA, CFTC rules and regulations.. As a Broker Dealer Compliance Regulatory Policy Vice President, you will be acting as a subject matter expert for their assigned rules.. The Vice President will be expected to engage in different processes, projects, and initiatives with different stakeholders across the business to provide guidance and interpretation of the broker-dealer financial accountability rules.. The stakeholders would include Regulatory Reporting, Operations, Product Control, Treasury, Finance, and the Front Office.. CPA, CFA, FRM, MBA, or Legal qualification preferred

regulatory compliance specialist

Position: VP, Broker Dealer Compliance Regulatory PolicyCompany: Financial FirmLocation: NYC – MidtownWorkplace: Hybrid – Onsite Tue/Wed MUST HAVE<ul><li>Recent work experience with: SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Reserve and Possession or Control), SEC Rule 17a-5, and SEC Rule 17a-13</li></ul> Job Summary: Regulatory reporting team in a financial firm seeking a VP level Reg Reporting Specialist with expertise in SEC, FINRA, CFTC rules and regulations. In particular, seeking strong knowledge in both SEC Rule 15c3-1 and SEC Rule 15c3-3. This is a highly visible senior individual contributor role with responsibility for daily interaction with senior stake holders in the bank. Seeking someone with good process experience. Will work onsite in midtown NYC office, hybrid schedule onsite Tue/Wed. Job Description: As a Broker Dealer Compliance Regulatory Policy Vice President, you will be acting as a subject matter expert for their assigned rules. The Vice President will be expected to engage in different processes, projects, and initiatives with different stakeholders across the business to provide guidance and interpretation of the broker-dealer financial accountability rules. The stakeholders would include Regulatory Reporting, Operations, Product Control, Treasury, Finance, and the Front Office. Responsibilities: <ul><li>Being a self-starter and being able to work both independently and with colleagues on assigned tasks</li><li>Taking ownership of the tasks and leveraging industry to solve complex problems</li><li>Assisting with a strategic initiative to enhance the controls and processes related to SEC Rule 15c3-3 in the first year and having expertise in the rule and how broker-dealers operate</li><li>Providing exposure to a broad group of industry stakeholders who are both internal and external and the processes relating to 15c3-3 providing exposure to senior management</li><li>Comprehending the following broker-dealer rules: SEC Rule 15c3-1 (Net Capital), SEC Rule 15c3-3 (Customer Reserve and Possession or Control), SEC Rule 17a-5, and SEC Rule 17a-13</li><li>Building relationships and maintaining relationships at a range of levels across the businesses and functions (Risk, Legal, Technical Accounting, Regulatory, and Financial Reporting)</li><li>Determining and evaluating alternative interpretations, asking probing questions to understand business and processes (controls, systems, etc.)</li><li>Assessing the relevance of existing internal and external precedents and ensuring a full grasp of issues before making their recommendations</li></ul> Requirements: <ul><li>University Degree (BS/BA) or equivalent</li><li>Minimum of five years of experience with broker-dealer regulations including SEC Rule 15c3-1 and SEC Rule 15c3-3</li><li>Solid grasp of how a broker-dealer functions including business models, record keeping, settlement mechanics, and trade processing</li><li>Ability to build relationships across the organization and lead others in completing a collaborative task and executing tasks, challenging assumptions, and escalating issues</li></ul> Nice to Have: <ul><li>Expertise in FINRA Rule 2231, SEC Rule 17a-13, and SEC Rule 17a-5</li><li>Ability to manage complex projects and tasks to completion and communicate statue to senior stakeholders</li><li>CPA, CFA, FRM, MBA, or Legal qualification preferred</li><li>Interpersonal, written, and oral communication skills, particularly in relation to conveying complex issues in a straightforward and concise manner</li></ul>

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