This job is responsible for reviewing regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities
Job Summary
This job is responsible for reviewing regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities.
Step into a high visibility role at the center of the company’s regulatory reporting process.
Demonstrate initiative, intellectual curiosity, and adaptability in a dynamic regulatory landscape.
Matching Summary
This job is responsible for reviewing regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities.
Skills & Requirements
Must-have
Regulatory reporting returns review
Variance and trend analysis
Regulatory reporting instructions knowledge
Lead regulatory examination inquiries
Operational excellence initiatives
Nice-to-have
Intellectual curiosity and adaptability
Mentorship and guidance
Strong working relationships
Continuous improvement mindset
Key Requirements
5+ years of professional experience
Lead preparation, review, and analytical assessment of U.S. regulatory filings
Execute and strengthen key reporting controls
Knowledge and understanding of regulatory reporting instructions
Analytical, critical thinking and problem-solving capabilities