Consultant - Regulatory Reporting - Financial Services (5-15 yrs)

- Trade & Transaction Reporting (CFTC, SEC, CAD, MiFID) - Ensure timely and accurate trade and transaction reporting in compliance with - CFTC, SEC, MiFID, FINRA, and CCAR- regulatory requirements.

- Reconcile trade reports and correct any discrepancies to ensure adherence to North American regulatory standards.

- Manage - DTCC, Tri-Optima, and Xceptor- platforms for trade lifecycle monitoring, data reconciliation, and exception management.

- Conduct periodic reviews and assessments of - CFTC/SEC trade reporting processes- , ensuring compliance with evolving regulatory guidelines.

- Securities Lending Operations & Middle Office Support - Oversee the - CFTC/SEC/CAD Securities Lending- trade flow, ensuring transactions are booked, confirmed, and reported accurately.

- Work closely with Front Office, Middle Office, and Back Office teams to ensure seamless trade execution and compliance.

- Perform reconciliations between internal trade records and external platforms such as - DTCC and FINRA Gateway- .

- Support the automation and enhancement of reporting processes using tools like - Xceptor- to improve operational efficiency.

FINRA TRACE 6760 & 6730 Compliance - Ensure compliance with - FINRA TRACE Rule 6760 (New Issue Information) and 6730 (Trade Reporting of Corporate Bonds & Agencies)- .

- Conduct surveillance on trade reporting activities, addressing any gaps in execution or compliance.

- Provide reporting and analytics for regulatory submissions via - FINRA Gateway