Regulatory/Compliance SME

  • 283 Market St, Newark, NJ 07102, USA
  • Contract

Company Description

Broadridge, a global fintech leader with over $4 billion in revenue, provides communications, technology, data, and analytics. We help drive business transformation for our clients with solutions for enriching client engagement, navigating risk, optimizing efficiency, and generating revenue growth.

Job Description

Are you seeking a position within a growing organization working with a stellar team? Broadridge is hiring! We’re seeking a Subject Matter Expert (SME) in regulatory and compliance with knowledge of the brokerage business. This person will have in-depth knowledge of back-end securities processing. This is a long term contract opportunity.

Responsibilities:

  • You will write business and functional specification requirements and make changes when needed
  • You will document processes, tools, system outputs to comply with various industry rules and regulations (FINRA and SEC)
  • You will work on BRD for general ledger interfaces, work with finance on P&L posting options and run back office trial balance
  • You will analyze, document and reconcile large data sets and assist in developing a Broadridge solution
  • You will prepare written specs and workflow documents as needed
  • You will work with internal clients to reconcile existing data and identify gaps
  • Investigate and resolve any problems relating to various iterations of testing
  • Responsible for static data set up and testing

Qualifications:

  • In depth knowledge of back-end securities processing
  • Should have solid understanding of brokerage and accounting posting logic
  • Data interpretation and mapping experience 
  • You should have in-depth knowledge of regulatory and compliance in accordance with FINRA and the SEC such as 15c3-3, TRACE reporting, INSITE reporting, MSRB reporting and Rule 144
  • Possess excellent inter-personal skills.
  • Have a “client centric” view and be oriented toward understanding client needs, guiding the solution and timely management of achievements.
  • You'll have experience in excel (pivot tables, macros a plus).
  • Be self-motivated and be adaptable to various different tasks and deadlines.
  • You should understand client requirements and test scripts.
  • Experience with Broadridge products such as Impact/BPS/Gloss/GPTM data is a plus
  • Knowledge of internal Broadridge systems and/or requirement and test writing would be advantageous.

Additional Information

Broadridge is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, or any other status protected by law. Click here to view the "EEO is the Law" poster.

“Our Associate Matter, Everyone Benefits from Diversity & Inclusion, Diverse & Inclusive Teams Drive Growth.”

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