Regulatory Operations Analyst
Core
Produce, validate, reconcile, and submit critical non-financial regulatory reports (CAT, CAIS, EBS, LOPR) to ensure compliance with SEC and FINRA requirements.
Role type
Regulatory Operations Analyst
Builds
Regulatory reporting programs and data quality controls for securities trading and brokerage operations
Domain
Financial Services / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
CAT reporting, CAIS reporting, FINRA regulations, SEC regulations, securities trading lifecycle, root-cause analysis, process improvement, data discrepancy resolution, regulatory examination support, Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR)
Preferred skills
Brokerage operations experience, clearing environment workflows, risk management initiatives, automation opportunities
Technologies
Microsoft Excel, reporting tools
Responsibilities
Produce and submit regulatory reports (CAT, CAIS, EBS, LOPR); Monitor reporting quality and resolve data discrepancies; Partner with cross-functional teams to address reporting issues; Evaluate new regulatory requirements and support implementation; Participate in regulatory examinations and audits; Conduct root-cause analysis and lead remediation efforts; Document procedures and identify automation opportunities
Seniority
Junior to Mid-level, hands-on IC
