Transaction Reporting Analyst
Core
Perform front-line supervisory reviews of trading and order handling exception reports to ensure regulatory compliance and operational integrity.
Role type
Operational compliance analyst (transaction reporting)
Builds
Clean, examiner-ready records of trade reporting reviews and documented escalations
Domain
Financial services / Regulatory compliance / Trade reporting
Deliverable
dashboards & analysis
Required skills
Exception report analysis, Root cause investigation, Regulatory procedure application, FINRA reporting knowledge, Documentation, Issue tracking, Pattern recognition, SQL, AI-assisted tools
Preferred skills
Series 3/4/24 licenses, Experience with diverse asset classes (Equities, Options, Fixed Income, Futures, Crypto), Broker-dealer background
Technologies
CAT/CAIS/TRF/ORF/TRACE, SQL, AI tools
Responsibilities
Review assigned exception reports (trade/order/CAT/CAIS/TRF/ORF/TRACE), Investigate flagged items to determine root cause, Log review findings and disposition in system of record, Track issues to resolution and confirm corrective action, Identify recurring exception patterns and recommend process improvements, Assist in gathering documentation for regulatory inquiries
Seniority
Mid-level, hands-on IC
