Principal Consultant - Regulatory Reporting

Capco-posted 6 months ago
$160,000 - $183,000/Yr
Full-time • Senior
New York, NY
Chemical Manufacturing
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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.

  • 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.
  • 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).
  • Medical, dental and vision insurance
  • 401(k) plan
  • Tuition reimbursement
  • Work culture focused on innovation and creation of lasting value for clients and employees
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