FINOP / Broker-Dealer Regulatory Reporting Consultant

Experience: 10 - 15 Years

Location: Downtown Manhattan, NY (Hybrid preferred - onsite at least 3 days/week)Contract: 3-6 months Downtown Manhattan, NY (Hybrid)

Job Description: Our client is seeking a FINOP / Broker-Dealer Regulatory Reporting Consultant with strong experience supporting self-clearing broker-dealers, including ownership of FOCUS reporting, 15c 3-3 regulatory requirements, and related broker-dealer financial/regulatory obligations. This engagement will support the organization while they conduct a permanent replacement search. Responsibilities &

Qualifications: Support broker-dealer regulatory reporting activities within a self-clearing environment Prepare, review, and/or sign FOCUS reports Support compliance with SEC Rule 15c 3-3 and related broker-dealer regulations Partner with finance, operations, and compliance stakeholders Support regulatory reporting, capital computations, and reserve calculations Operate within a fast-paced financial services environment

Requirements: Strong broker-dealer regulatory reporting experience Experience within a self-clearing broker-dealer environment Hands-on experience with FOCUS reporting Strong understanding of SEC Rule 15c 3-3 and related regulatory requirements Prior experience signing FOCUS reports strongly preferredFINOP licensing/certification background preferred Strong financial services and regulatory reporting background