What are the responsibilities and job description for the Financial Compliance & Reporting Specialist position at TalentBridge?
Job Title: Financial Compliance Reporting Specialist
Location: New York, NY (Hybrid)
Salary: $100K Direct Hire
A growing financial services organization is seeking an experienced professional to oversee key compliance and reporting functions related to broker-dealer operations. In this position, you’ll be responsible for generating and validating periodic submissions, maintaining compliance with regulatory requirements, and collaborating across multiple teams (Treasury, Operations, Legal, IT, and Finance).
Key Responsibilities
- Regulatory Documentation: Prepare and review daily, weekly, monthly, quarterly, and annual reports to satisfy external oversight expectations for broker-dealer activities.
- Collaboration & Coordination: Work closely with cross-functional departments to gather accurate data for timely report completion.
- Efficiency & Automation: Identify areas for improving current reporting processes and partner with leadership to implement streamlined solutions.
- Controls & Compliance: Assist in meeting internal control standards, including those related to financial and operational audits, and support any necessary remediation efforts.
- Governance & Documentation: Contribute to the development of procedural guides, charters, and governance materials that enhance overall operational rigor.
Qualifications
- Education: Bachelor’s degree in Accounting, Finance, Economics, or a related field.
- Experience: At least 3 years of broker-dealer reporting experience, focusing on regulatory filings.
- Technical Skills: Advanced proficiency with Microsoft Office (Excel, VBA, Access, PowerPoint) and aptitude for process automation.
- Soft Skills: Excellent communication abilities, strong organizational skills, and the capacity to manage competing priorities in a fast-paced environment.
- Regulatory Knowledge: Familiarity with relevant broker-dealer compliance rules and SOX-related controls.
Preferred:
- Advanced degree (e.g., Master’s in Finance) or certifications (CTP, CFA)
- Comprehensive understanding of SEC requirements for capital and customer protection
Why Apply?
- Impactful Work: Play a central role in ensuring that all compliance activities meet industry standards.
- Growth & Development: Expand your skill set by collaborating with diverse teams and driving process improvements.
- Hybrid Environment: Enjoy the benefits of both remote flexibility and in-person collaboration in New York City.
- Competitive Package: Direct hire position offering $100K and a robust benefits program.
If you’re detail-oriented, thrive under regulatory guidelines, and excel at cross-team collaboration, we encourage you to apply. Please submit your resume and we look forward to exploring how your background can contribute to the team!
Salary : $100,000
