Global Banking & Markets- Dallas- Associate, Regulatory Reporting - Trade Level- 10219895

Job Duties

• Review and conduct exception management on regulatory reports submitted to agencies like FINRA and the SEC, ensuring compliance with global regulatory requirements.
• Use Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies.
• Analyze large data sets to ensure accuracy, address discrepancies, and collaborate with technology teams to build and maintain efficient data pipelines.
• Identify and address control gaps, automate manual processes, and enhance existing reporting systems to improve efficiency and reduce risk.
• Work closely with internal teams, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives while serving as a liaison with regulatory agencies.
• Conduct risk and compliance monitoring and prepare updates for senior management.
• Participate in projects related to regulatory requirements, collaborate with global teams to implement changes, and provide regular updates on progress.
• Work with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors, and clients.

Job Requirements

• Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, Civil Engineering, or related field and two (2) years of experience in the job offered or a related role.
• Prior experience must include two (2) years with:
• US-based regulatory obligations from FINRA, SEC, or FDIC;
• business Intelligence tools including Alteryx;
• SQL (Structured Query Language);
• analyzing large datasets to ensure data accuracy and resolve discrepancies;
• conducting risk and compliance monitoring;
• process automation to improve reporting efficiency and reduce operational risk;
• working with market and financial instruments including equities, exchange traded derivatives, and OTC derivatives for regulatory reporting;
• and project management tools including JIRA.