Regulatory Reporting Operations Analyst

Responsibilities

• Identify, investigate, and resolve discrepancies in regulatory exception reports across various trading desks and product types (equities, fixed income, derivatives, and commodities).
• Ensure all alerts are appropriately reconciled and escalated to relevant stakeholders for timely resolution.
• Serve as the primary point of contact for internal and external regulatory inquiries.
• Respond promptly, provide detailed explanations, and escalate complex issues to appropriate departments (Legal, Compliance, Trading Desks).
• Cook up and enhance coordination with IT, Operations, and Business Units to implement system enhancements, procedural updates, and training initiatives that improve regulatory reporting efficiency and compliance.
• Lead internal audits and reviews to identify areas for improvement.
• Maintain and update all regulatory reporting Written Supervisory Procedures (WSPs), desktop procedures, and control documentation.
• Ensure all procedures reflect current regulatory requirements and internal best practices.
• Manage and validate data inputs into regulatory reporting systems (e.g. TRACE, RTRS, TRF, ORF).
• Perform routine data quality checks and liaise with system administrators to resolve technical issues.
• Cross-functional Collaboration: Partner with Middle Office, Trading Desks, Legal, and Internal Audit to ensure alignment on regulatory reporting obligations.
• Escalate critical issues and ensure timely resolution.

Qualifications

• Bachelor’s Degree in Finance, Accounting, Economics, Business Administration, or a related field.
• Advanced degree (MBA, CFA, or similar) is a plus.
• Minimum 3–5 years of hands-on experience in regulatory reporting within the financial services industry, preferably in a compliance, operations, or middle-office role.
• Proven experience working with regulatory reporting systems such as FINRA TRACE, MSRB RTRS, or FINRA TRF/ORF.
• Advanced proficiency in Microsoft Excel (including VLOOKUP, PivotTables, and macros).
• Experience with UNIX commands, SQL, Python, or other programming languages is a strong plus.
• Strong analytical and quantitative skills with the ability to interpret complex data sets and identify trends or anomalies.
• In-depth understanding of regulatory reporting requirements, including but not limited to FINRA TRACE and Equity reporting rules, MSRB reporting rules.

Skills

• Exceptional attention to detail and commitment to data integrity.
• Strong written and verbal communication skills to interact with both technical and non-technical stakeholders.
• Self-motivated and proactive, with the ability to manage multiple priorities in a fast-paced environment.
• Collaborative team player with a problem-solving mindset.