Senior Principal Analyst, CAT Business Operations
Core
Leads strategic initiatives and project delivery for the Consolidated Audit Trail (CAT), a critical regulatory program ensuring market transparency and investor protection.
Role type
Senior Principal Analyst (Regulatory Operations)
Builds
Industry-facing solutions and regulatory compliance frameworks for the CAT
Domain
Financial Services / Securities Regulation
Deliverable
dashboards & analysis
Required skills
Business process mapping, Requirements gathering, Technical documentation, Securities markets knowledge, Regulatory reporting, Relational database querying, Data analysis, Stakeholder management, Project management, Mentoring
Preferred skills
Advanced degree, SRO rules knowledge, Securities Exchange Act of 1934 knowledge, FIX/messaging protocols knowledge
Technologies
SEC Rule 613, CAT NMS Plan rules, Relational databases
Responsibilities
Define project milestones and lead requirement gathering, Respond to complex regulatory compliance inquiries, Lead end-to-end requirements lifecycle, Lead quantitative research for reporting guidelines, Identify and resolve complex issues with senior management, Mentor junior colleagues
Seniority
Senior, hands-on IC with strategic oversight