Regulatory Reporting Operations- Associate
Core
Execute complex processes and manage daily CAT operations reporting needs to align with business goals, focusing on risk recognition, data quality monitoring, and exception investigation.
Role type
Associate in Regulatory Reporting Operations (Financial Services)
Builds
Daily regulatory reports (FINRA CAT/CFTC) and operational controls
Domain
Financial Services / Regulatory Compliance
Required skills
FINRA CAT reporting, CFTC reporting, trade lifecycle knowledge, exception investigation, data quality governance, regulatory rules compliance, process improvement, stakeholder management, project management, change management
Preferred skills
Automation platforms (Alteryx, Power Apps, Ui Path), industry forum representation, moderately complex initiative leadership
Technologies
Alteryx, Power Apps, Ui Path, FINRA CAT, CFTC
Responsibilities
Execute complex processes and assist a Team Manager in coordinating processes, risks, and projects; Recognize risk in day-to-day processes to propose changes; Train others, allocate tasks, and support first-line escalation; Interface with stakeholders (Business Unit, Legal, Compliance, Technology) for investigation of reporting exceptions; Monitor and govern data quality, FINRA CAT linkage exceptions, and systemic issues; Ensure timely escalation of issues to stakeholders.
Seniority
Associate, hands-on IC
