What are the responsibilities and job description for the Regulatory Compliance Specialist position at CEI?
Regulatory Compliance Specialist
Jersey City, NJ
$90hr / Hybrid
Job at a Glance
The client is seeking a Regulatory Compliance Specialist based in Jersey City, NJ. This role is responsible for managing significant projects within the Infrastructure area, such as strategic change management, new business and product initiatives, process re-engineering, and establishment of control procedures.
Responsibilities
- Manage significant projects including strategic change management, new business/product initiatives, process re-engineering, and establishment of control procedures within the Infrastructure area.
- Work on multi-disciplinary projects requiring a broad knowledge of the company and its key functions.
- Participate in various industry working groups related to new rules and regulations.
- Prepare business requirement documents and project test plans to support new or changing industry rules and regulations.
- Supervise and ensure processing of the following:
- Daily Bluesheet submission and review
- Daily statements and confirmation review
- Key risk indicators for senior management insights
- Quarterly 17A-13 counterparty confirmations and reconciliations
- Incoming audit confirmations
- Autonomy email surveillance administration
- Other regulatory controls (e.g., ACT, TRACE, Consolidated Audit Trail, OCEND, LOPR, Canadian Debt Reporting, Federal Reserve Bank Reporting)
- Perform daily control and analysis of unmatched breaks and release weekly/monthly reports to management.
- Analyze post-month-end/quarter-end incidents.
- Escalate potential technical issues affecting production and operational risk, and participate in IT development projects as required.
Qualifications
- Bachelor’s degree in Accounting, Finance, Business, or similar.
- 3–5 years of experience in a similar role.
- Understanding of Broker/Dealer compliance and capital markets.
- Knowledge of equity and fixed-income products.
- Excellent written and verbal communication skills.
- Highly skilled in multitasking, organization, and working independently.
- Proficient in Microsoft Excel, Word, and PowerPoint.
- Demonstrated ability to innovate and drive process improvements.
- Ethical, control-oriented, and able to manage competing deliverables.
- Strong team player with leadership capabilities.
About the Client
The client has a strong presence in the United States, offering Corporate & Institutional Banking services. They provide tailored solutions in financing, cash management, capital markets, and securities services to corporate clients and institutional investors.
#INDGEN
Salary : $90
