Nextera Search · 14 hours ago
VP, Regulatory Reporting
NYC Metro Area
Full-time
Hybrid
Senior Level, Lead/Staff
$170K/yr - $200K/yr
8+ years expNextera Search is a Financial Services Firm based in New York City seeking an experienced professional for the role of Vice President of Regulatory Reporting. The role involves managing regulatory reporting for security-based swap dealer activities, ensuring compliance with SEC requirements, and improving reporting controls and operational efficiency.
Staffing & Recruiting
Responsibilities
Manage daily, monthly, and annual regulatory reporting for security-based swap dealer (SBSD) activities to the SEC and registered trade repositories, ensuring full compliance with applicable reporting and recordkeeping requirements, including Regulation SBSR and related SEC rules
Analyze, interpret, and operationalize new or amended SEC and Dodd-Frank regulatory requirements, with a focus on reporting accuracy, completeness, and timeliness
Oversee data sourcing, validation, and submission processes to ensure the integrity and accuracy of reported transaction data, including pricing and notional information
Support the regulatory framework for cross-border SBSD activity, including the application and monitoring of substituted compliance regimes where applicable
Develop, maintain, and enhance written supervisory procedures and internal policies governing SBSD reporting obligations
Partner with internal and external audit teams and respond to regulatory inquiries and examinations from supervisory authorities related to SBSD reporting
Identify and implement opportunities to improve reporting controls, automation, and operational efficiency to mitigate regulatory and operational risk
Work closely with Trading, Sales, Operations, Technology, and Legal teams to investigate reporting issues, resolve discrepancies, and address system or data challenges
Qualification
Required
Bachelor's degree in Finance, Accounting, Economics, or a related field
8+ years of experience in regulatory reporting or compliance, preferably within a global investment bank, law firm, or regulatory agency, with a focus on derivatives or swaps
Strong understanding of SEC Regulation SBSR, Dodd-Frank Act swap dealer requirements, and Rule 15F obligations
Experience working with regulatory reporting platforms and data reconciliation processes (e.g., SDRs, SBSDRs)
Solid understanding of security-based swaps, including Credit Default Swaps and equity derivatives
Ability to operate under pressure, manage tight deadlines, and clearly communicate complex regulatory topics to senior management
Prior involvement in SBSD registration and the implementation of regulatory reporting infrastructure
Preferred
CPA or equivalent advanced professional certification preferred
Experience using SQL, Alteryx, or Tableau for data analysis and reporting
Company
Nextera Search
Nextera Search is a premier recruitment firm specializing in direct hire placements within the Accounting, Finance & Financial Services sectors.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase