Transaction Reporting Analyst
Core
Overnight monitoring, exception handling, and repair of trade reporting submissions to FINRA's Trade Reporting Facility (TRF), Consolidated Audit Trail (CAT), and Electronic Blue Sheets (EBS) to ensure operational integrity before the U.S. trading day begins.
Role type
Senior IC transaction reporting analyst (regulatory compliance)
Builds
Regulatory trade reporting submissions and exception repair workflows
Domain
Financial services / Regulatory compliance / Trade reporting
Deliverable
dashboards & analysis
Required skills
FINRA trade reporting (TRF/CAT/EBS), regulatory reporting, exception handling, shift work, escalation judgment, process improvement, written communication, risk controls
Preferred skills
MiFID II or EMIR transaction reporting, automation of monitoring workflows
Technologies
FINRA Trade Reporting Facility (TRF), Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS)
Responsibilities
Monitor TRF and ORF submissions overnight for health, rejections, and out-of-tolerance conditions; Execute the 9:00pm (NYC Time) TRF opening rejection repair process; Review and manage the EBS submission queue; Confirm successful completion of CAT submissions; Prepare detailed end-of-shift reports; Escalate unresolved or high-severity issues; Maintain auditable records of monitoring activity and repairs
Seniority
Mid-level, hands-on IC
