Non Financial Regulatory Reporting Associate

Your Role:

This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on Non-Financial Regulatory Reporting. The team is 100% distributed and remote. The role will be reporting directly to the Director of Trading Operations and NFRR Manager.

Things You Get To Do

• Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
• Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
• Keep procedural documents up to date to comply with securities regulatory reporting obligations
• Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
• Serves as an escalation point to resolve broad and complex operational issues related to NFRR
• Execute the processes to establish, maintain, review, test, and modify Operations practices.
• Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
• Big data analysis and assessment to discover trends and recommend improvements.

• Perform other duties and responsibilities as assigned.

• Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’

• Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.

• Keep procedural documents up to date to comply with securities regulatory reporting obligations

• Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations

• Serves as an escalation point to resolve broad and complex operational issues related to NFRR

• Execute the processes to establish, maintain, review, test, and modify Operations practices.

• Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance

• Big data analysis and assessment to discover trends and recommend improvements.

• Perform other duties and responsibilities as assigned

• A successful candidate must be willing to learn in-the-weeds knowledge on the below-named systems:

  • Consolidated Audit Trail Implementation (CAT): BA work mapping firm functions to reporting scenarios and reporting UAT testing. Obtaining strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired.
  • Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
  • Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system.
  • Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and implement regulatory rule changes.
  • Trade Reporting and Compliance Engine (TRACE): Over-the-Counter bond market trades reporting system.

• Global Markets Operations/Technology experience preferred

• Understanding of NFRR rules

• Experience with regulatory programs

• Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment

• Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement

• Ability to collaborate and work effectively in a remote team environment

• Must possess the ability to adapt to a changing business and regulatory environment

• Enjoys challenges and taking ownership of new responsibilities

• Self-starter takes initiative

• Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and MySQL database skills