Registered Regulatory Reporting Analyst

About This Role

This role supports the firm's compliance with non-financial regulatory reporting requirements, specifically focusing on CAT and CAIS. The analyst will monitor client assets, prepare and validate regulatory reports, and ensure adherence to industry rules, collaborating with various internal stakeholders.

Responsibilities

• Produce, validate, and submit non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR))
• Collaborate with other business units including Brokerage Operations, Trading, Compliance, IT, and Legal
• Assist and provide input in interpreting new/changing securities rules, regulations, policies, or laws, and update processes for compliance
• Compile operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight
• Plan and execute remediation efforts for identified issues with minimal guidance/support
• Assist in the design, planning, and execution of testing strategies; communicate issues to management and draft recommendations to mitigate risk
• Participate on projects

Requirements

• Hands-on experience in regulatory reporting (CAT and CAIS)
• Knowledge of Non-Financial Regulatory reporting requirements
• Knowledge of Financial market impacts
• Knowledge of Regulatory terminology, concepts, and guidance
• Knowledge of Back Office brokerage operations processes and procedures
• Knowledge of Trading life cycle (Orders, Executions, Allocations)
• Knowledge of FINRA, SEC and Exchange trading rules, regulations and laws
• Proficiency in Microsoft Office (Excel, Access, PowerPoint) and other software applications

Qualifications

• High School (HS)
• 7 to 12 months general experience

Skills

* Required skills