Analyst, CAT Helpline
Core
Provide specialized technical support and issue resolution for the Consolidated Audit Trail (CAT) system to industry members and regulatory users.
Role type
Competent-level Help Desk Analyst (Financial Regulatory)
Builds
Functional and navigational support for the CAT system, tracking spreadsheets, and trend identification.
Domain
Financial Services / Securities Regulation / Market Data Infrastructure
Deliverable
client delivery
Required skills
Analytical skills, Customer service, Knowledge of FINRA/SEC rules, Knowledge of securities markets and member firm operations, Data tracking and trend analysis, CRM documentation, End-user training
Preferred skills
Experience in financial industry regulatory reporting, Knowledge of SEC Rule 613 and CAT NMS Plan rules
Technologies
CRM system, Office software suite, CAT system
Responsibilities
Intake, research, and resolve moderate complexity technical issues; Interface with industry members and regulatory staff; Document inquiries in CRM; Mentor junior analysts; Provide end-user training and advice.
Seniority
Mid-level, hands-on IC with supervision
