Regulatory Operations Analyst

What You'll Do

• Produce, validate, reconcile, and submit Non-Financial Regulatory reports, including:
• Consolidated Audit Trail (CAT)
• Electronic Blue Sheets (EBS)
• Large Options Position Reports (LOPR)
• Short Interest Reporting
• Treasury International Capital (TIC)
• SEC Schedule 13F
• Other regulatory reporting obligations 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.

Experience

• Hands-on experience with Non-Financial Regulatory 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, Settlements, Securities operations and reporting impacts.
• 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.
• Experience with one or more regulatory reporting obligations Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting or similar reporting requirements.
• Experience with process improvement, controls testing, or risk management initiatives.
• Familiarity with operational workflows within brokerage or clearing environments.

Skills

• Technical Knowledge: Artificial Intelligence (AI) and AI – assisted reconciliation and exception investigation, Advanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliation), Reporting and workflow management systems, User Acceptance Testing (UAT) support, Regulatory risk management and controls.
• Core Skills: Regulatory reporting validation and reconciliation, Understanding and application of regulatory requirements, 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, Cross-functional partnership and stakeholder management.

Education & Experience

• Bachelor’s Degree (B.A.) in related field (preferred).
• 2-years’ experience in financial services, brokerage operations, regulatory reporting, compliance, securities operations (preferred).
• Any equivalent combination of experience and education.

Licenses & Certifications

• Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.
• Series 99 or ability to obtain within 120 days (as required by FINRA), required.