15c3 Controls & Governance Consultant

Our client is seeking an experienced 15c3 Controls & Governance Consultant to support business-as-usual operations and strengthen regulatory compliance frameworks within a leading financial services organization.

Responsibilities & Qualifications

• Support BAU operations for 15c3 controls and governance initiatives
• Assist in the design implementation and monitoring of regulatory controls and frameworks
• Document and communicate control procedures to relevant stakeholders
• Collaborate with compliance risk and operations teams to ensure control effectiveness
• Provide recommendations for process improvements and governance enhancements
• Prepare governance documentation and control testing materials
• Support compliance assessments and regulatory reporting requirements
• Mentor junior staff on best practices in financial services controls and governance

Requirements

• 811 years of experience in financial services controls compliance or governance
• Strong expertise in Rule 15c3-1 and related SEC regulations
• Demonstrated experience supporting broker-dealer or investment firm control environments
• Advanced knowledge of financial reporting risk management and regulatory frameworks
• Excellent communication and stakeholder management skills
• Ability to work independently and collaboratively in a fast-paced environment
• Proficiency with control documentation testing and compliance tools
• Bachelors degree in Finance Accounting Business or related field (or equivalent professional experience)