Senior Analyst, US Regulatory Services
Core
Ensuring timely, accurate, and complete regulatory reporting to exchanges, self-regulatory organizations, and the SEC, including operational execution, process improvement, and risk management.
Role type
Senior Analyst, Regulatory Reporting
Builds
Regulatory reports (CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB) and internal control processes
Domain
Financial Services / Capital Markets / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Financial products knowledge (Equities, Derivatives, Fixed Income), Trade life cycle understanding, Middle Office trade processing, MS Office (Excel, PowerPoint), Regulatory reporting procedures
Preferred skills
Front Office/Middle Office trade processing experience, Management experience, System change impact assessment
Technologies
CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB
Responsibilities
Review and submit assigned regulatory reports, Act as escalation point for junior staff, Develop and implement controls for reporting accuracy, Prioritize and resolve reporting anomalies, Document and maintain procedures, Support regulatory change initiatives
Seniority
Senior, hands-on IC with potential management responsibilities