Non Financial Regulatory Reporting Associate
Your Role:
This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on Non-Financial Regulatory Reporting. The team is 100% distributed and remote. The role will be reporting directly to the Director of Trading Operations and NFRR Manager.
Things You Get To Do:
- Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
- Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
- Keep procedural documents up to date to comply with securities regulatory reporting obligations
- Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
- Serves as an escalation point to resolve broad and complex operational issues related to NFRR
- Execute the processes to establish, maintain, review, test, and modify Operations practices.
- Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
- Big data analysis and assessment to discover trends and recommend improvements.
Perform other duties and responsibilities as assigned.
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
Keep procedural documents up to date to comply with securities regulatory reporting obligations
Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
Serves as an escalation point to resolve broad and complex operational issues related to NFRR
Execute the processes to establish, maintain, review, test, and modify Operations practices.
Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
Big data analysis and assessment to discover trends and recommend improvements.
Perform other duties and responsibilities as assigned
A successful candidate must be willing to learn in-the-weeds knowledge on the below-named systems:
- Consolidated Audit Trail Implementation (CAT): BA work mapping firm functions to reporting scenarios and reporting UAT testing. Obtaining strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired.
- Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
- Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system.
- Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and implement regulatory rule changes.
- Trade Reporting and Compliance Engine (TRACE): Over-the-Counter bond market trades reporting system.
Global Markets Operations/Technology experience preferred
Understanding of NFRR rules
Experience with regulatory programs
Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement
Ability to collaborate and work effectively in a remote team environment
Must possess the ability to adapt to a changing business and regulatory environment
Enjoys challenges and taking ownership of new responsibilities
Self-starter takes initiative
Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and MySQL database skills
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