About this opportunity
RIT Solutions lists this Regulatory Reporting Consultant opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Regulatory Reporting Consultant
Location: New York City, NY (3 days onsite – locals only)
Contract: 6 months (Start Date: asap)
Our client, a top-tier management consulting firm, is seeking an experienced Regulatory Reporting Consultant to support reporting remediation and strengthen controls across key broker-dealer regulatory areas including LOPR, EBS, Rule 606, and CAT. You will work cross-functionally with technology, compliance, and operations teams to ensure reporting accuracy and regulatory compliance.
Key Responsibilities
Support end-to-end remediation of regulatory reporting issues across LOPR, EBS, Rule 606, and CAT.
Collaborate with technology, compliance, and operations teams to assess reporting gaps, implement controls, and validate system fixes.
Conduct detailed data analysis to identify root causes and validate reporting outputs for regulatory compliance.
Enhance existing reporting processes, documentation, and oversight frameworks.
Assist in planning, coordination, testing, and rollout of reporting changes with cross-functional stakeholders.
Required Skills & Experience
Strong knowledge of securities, financial products, and the full trade lifecycle.
Hands-on experience with data analysis, reconciliation, and issue investigation.
Ability to work closely with technology, compliance, and operational teams.
Prior experience within broker-dealer regulatory reporting environments.
Familiarity with U.S. regulatory reporting regimes, particularly:
LOPR (Large Options Positions Reporting)
EBS (Electronic Blue Sheets)
Rule 606 (Order Routing Disclosure)
CAT (Consolidated Audit Trail)
Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.