Regulatory Operations Analyst

About the role

Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical regulatory reporting. This hybrid-friendly position offers the flexibility of remote work combined with the benefits of in-person collaboration, requiring three days per week in our Southfield, MI office.

Responsibilities

• Produce, validate, reconcile, and submit regulatory reports, including: Consolidated Audit Trail (CAT), Customer Account Information System (CAIS), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), and other regulatory reporting obligations as assigned.
• Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies.
• Partner with Brokerage Operations, Trading, Compliance, Technology, and Legal teams to address reporting issues and improve data quality.
• Evaluate new and changing regulatory requirements and support implementation efforts across impacted business areas.
• Conduct root-cause analysis and lead remediation efforts for identified reporting issues.
• Support risk assessments, testing initiatives, and control enhancements to strengthen regulatory reporting processes.
• Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies.
• Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

Requirements

• Hands-on experience with CAT and CAIS reporting in a broker-dealer or financial services environment.
• Experience supporting regulatory reporting, compliance operations, or brokerage operations.
• Strong understanding of securities markets, trading activity, and the trade lifecycle, including: Orders, Executions, Allocations, and knowledge of FINRA, SEC, and exchange regulatory requirements.
• Experience analyzing data, researching exceptions, and resolving reporting discrepancies.
• Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.
• Experience supporting regulatory examinations and audits.
• Knowledge of Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), or similar reporting requirements.
• Experience with process improvement, controls testing, or risk management initiatives.
• Familiarity with operational workflows within brokerage or clearing environments.

Qualifications

• High School (HS) degree (Required)
• OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) (Required)
• Certifications: Series 99 required prior to start.

Skills

• Technical Knowledge: Non-financial regulatory reporting requirements, FINRA, SEC, and exchange regulations, Brokerage operations and back-office processes, Trading lifecycle and securities operations, Regulatory risk management and controls.
• Core Skills: Analytical problem-solving and critical thinking, Root-cause analysis and issue remediation, Process improvement and workflow design, Regulatory interpretation and implementation, Strong written and verbal communication, Advanced Microsoft Excel and reporting tools, Cross-functional partnership and stakeholder management.

Benefits

• Medical, dental, and vision insurance
• Life insurance, critical illness insurance, and accident insurance
• Disability benefits
• Retail savings plan
• Paid time off (including vacation, holidays, and sick leave)
• Parental leave