Title: 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, 15c3-3 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 w...