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Regulatory Reporting SME

US - New York

About the team:

Capital Markets is part of Capco’s DNA. In fact, the Capco name was inspired by this domain. The Capital Markets team delivers expert consulting skills and deep product and functional knowledge across all areas of the front office, operations, technology, risk, finance and compliance.  Our clients include the largest investment banks, global universal banks and capital markets divisions from regional banks across the country and around the globe. 

Our delivery expertise spans across launching new lines of business, coordinating high-impact regulatory response programs, leading complex integration projects and analyzing the dependencies in an application rationalization effort. We have a consistent track record in helping clients with significant cost reductions and ensuring our clients grow, change and compete.

About the Job

As a Principal Consultant at Capco, you will play a pivotal role in delivering projects and developing new business opportunities, with a specialized focus on Trade and Transaction Reporting across OTC derivatives and Consolidated Audit Trail (CAT) reporting. You will work directly with leading Financial Services clients to ensure compliance with regulatory mandates such as CFTC, SEC, Canadian Trade Reporting, and CAT NMS Plan requirements.

What You’ll Get to Do

  • Lead a team of consultants, subject matter experts, and analysts to deliver complex trade reporting and regulatory compliance solutions. 
  • Oversee client engagements involving CFTC Parts 43/45, SEC SBSR, Canadian OTC Derivatives Reporting, and Consolidated Audit Trail (CAT) implementations. 
  • Analyze and interpret regulatory changes impacting trade and transaction reporting, and develop actionable strategies to ensure compliance. 
  • Guide clients through gap analysis, remediation planning, and execution for trade reporting across multiple jurisdictions. 
  • Collaborate with technology teams to design, test, and implement trade reporting systems and controls, ensuring data accuracy, completeness, and timeliness.
  • Conduct impact assessments of new regulatory requirements and industry best practices, presenting findings to senior client stakeholders. 
  • Support change initiatives related to trade lifecycle management, including pre-trade, execution, and post-trade processes. 
  • Facilitate workshops and training sessions to upskill client teams on trade reporting obligations and operational readiness. 
  • Maintain awareness of market trends, regulatory developments, and enforcement actions, and provide thought leadership to clients and Capco teams. 
  • Proactively identify new business opportunities in the trade and transaction reporting domain.

What You’ll Bring with You

  • 8+ years of consulting experience in Capital Markets and Securities with a deep focus on regulatory reporting and compliance. 
  • Demonstrated expertise in trade and transaction reporting across CFTC, SEC, Canadian regulations, and CAT. 
  • Strong understanding of the trade lifecycle and post-trade processes including clearing, settlements, confirmations, collateral management, and corporate actions.
  • Proven track record in delivering regulatory change management initiatives, including large-scale remediation and system implementations. 
  • Solid grasp of institutional Broker-Dealer operations, control frameworks, and technology impacts on trade reporting.
  • Analytical skills to assess data quality issues and design effective remediation strategies. 
  • Familiarity with reporting platforms, reference data management, and reconciliation controls.
  • Exposure to methodologies such as Agile, PMP, Prince2, and Waterfall.
  • Excellent written and verbal communication skills, with the ability to present complex regulatory concepts to clients.
  • Strong stakeholder management and relationship-building capabilities. 
  • A Bachelor’s degree (preferably in a related field).

Why Capco? 

A career at Capco is a chance to help reshape the competitive landscape in financial services.  We launch new banks, transform existing ones, and help our clients navigate complex change.  As consultants, we work on the front-end business design all the way through to technology implementation. 

We are the largest Financial Services focused consultancy in the world, serving everyone from global banks to emerging FinTechs, from strategy through digital transformation, design, business consulting, data and analytics, cyber, cloud, technology architecture, and engineering. 

Capco is a growing firm. We maintain an entrepreneurial spirit and growth mindset and have minimal bureaucracy. We offer the opportunity for everyone to learn rapidly, take on tough challenges, and get promoted quickly. We take pride in our creative, collaborative, diverse, and inclusive culture, where everyone can #BYAW. 

We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.  

Ready to take the Next Step? 

If this sounds like you, we would love to hear from you.  This is an opportunity to make a difference and contribute to a highly successful company with a significant growth trajectory.  

 

 

 

#LI-JC1

US Pay Range

$141,000 - $185,000 USD

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