Regulatory Reporting Specialist

Software Guidance & Assistance, Inc., (SGA), is searching for an Regulatory Reporting Specialist for a Contract assignment with one of our premier Financial clients in Jersey City, NJ .

Responsibilities :

• Preparation of various daily regulatory reporting of the following (but not limited to) providing daily regulatory reports to the regulators as well as internal groups that need the information immediately. Most of the reports are time sensitive and that is why RRC is looking to grow the staff with a team leader in order to meet these deadlines. Below is a list of some of the responsibilities that the role will be responsible for supervising and ensuring processing
  • Daily Bluesheet Submission and Review.
  • Daily Statements & Confirmation Review.
  • Key Risk Indicators for the bank in order to provide senior management with insight of daily controls
  • Participate in various industry working groups related to new rules and regulations.
  • Writing of Supervisory Procedures.
  • Processing quarterly 17A-13 counterparty confirmations and reconciliations
  • Processing all incoming audit confirmations
  • Maintenance and administration of Autonomy email surveillance for GMO ITO.
  • Other regulatory controls
  • Work on various regulatory projects and create controls necessary to implement new rules and regulations and ensure compliance within those rules.
  • Preparation as Business Requirement Documents to support projects related to new and changing industry rules and regulations.
  • Creation of Project test plans as required to implement new controls and process in accordance to new industry rules and regulations.
  • Transactional Regulatory Reporting - ACT, TRACE, Consolidated Audit Trail
  • OCEND and LOPR
  • Canadian Debt Reporting
  • Federal Reserve Bank Reporting

Required Skills:

• Bachelor's degree in Accounting, Finance, Business or similar.
• 3 - 5 yrs.+ of experience in a similar role
• Understanding of Broker/Dealer Compliance and Capital Markets
• Product knowledge of Equity and Fixed Income
• Excellent written and verbal skills, with confidence and composure at all levels of the business hierarchy
• Change agent with exemplary attitude: - innovative, enthusiastic, rigorous, execution oriented.
• Highly skilled multi-tasker with efficient organization skills.
• Highly ethical and control oriented.
• Highly organized and adept at managing competing deliverables.
• Strong team skills but comfortable working independently with clear directives.
• Excellent desktop skills - including Excel, Word and PowerPoint.
• Innovative and adept at assessing process improvement.
• Statistics and Metrics follow-up
  • Daily control and analysis of the unmatched breaks.
  • Release weekly and monthly reports to management
  • Perform analysis of post month end/quarter end incidents
• IT developments follow up
  • Escalate as soon as possible the potential technical issues that could put the production at risk, impacting productivity or operational risk.
  • Identify and evaluate the system development's needs. Take part to the ROI evaluation and follow up on prioritization.
  • Take part to the team's projects (validate specification, perform tests, ...)

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SGA is a technology and resource solutions provider driven to stand out. We are a women-owned business. Our mission: to solve big IT problems with a more personal, boutique approach. Each year, we match consultants like you to more than 1,000 engagements. When we say let's work better together, we mean it. You'll join a diverse team built on these core values: customer service, employee development, and quality and integrity in everything we do. Be yourself, love what you do and find your passion at work. Please find us at .

SGA is an Equal Opportunity Employer and does not discriminate on the basis of Race, Color, Sex, Sexual Orientation, Gender Identity, Religion, National Origin, Disability, Veteran Status, Age, Marital Status, Pregnancy, Genetic Information, or Other Legally Protected Status. We are committed to providing access, equal opportunity, and reasonable accommodation for individuals with disabilities in employment, and our services, programs, and activities. Please visit our company to request an accommodation or assistance regarding our policy.