Senior Analyst, Regulatory Trade Reporting

About the role

The Senior Analyst plays a critical role in supporting the Regulatory Trade Reporting team's ability to meet its regulatory reporting obligations. This role works closely with the Manager of Regulatory Trade Reporting within the Compliance department to execute daily reporting activities and collaborate with team members. The role is also expected to interact with Legal, Trading, external vendors, technology, and multiple areas within Operations.

Responsibilities

• Support the preparation, review, and monitoring of daily regulatory reporting processes maintaining compliance with internal and regulatory guidelines.
• Perform quality control and approval of daily regulatory reporting processes.
• Partner with the Analysts and Management in researching and providing explanations for reporting anomalies.
• Provide support to management during internal and external audits.
• Improving the team’s processing acumen by updating Policies & Procedures and cross-training new Analysts and Sr. Analysts.
• Taking the lead on process improvements by standardizing workflows, developing templates, and partnering with the Technology business unit on more robust automated solutions.
• Maintain control documentation needed for the various internal, external and regulatory reviews.
• Investigate, resolve, and track exceptions that may arise.
• Aid in coordinating the remediation of reporting anomalies.

Requirements

• 5+ years of Broker Dealer Operational experience across multiple departments, or similar experience.
• Experience with Excel.
• Experience in data analytics using tools such as Alteryx, Snowflake, SQL, and similar platforms.
• FINRA Licensing – SIE + Series 99, or ability to acquire license within 90 days.

Core Competencies

• Detail oriented with strong written and verbal communication skills.
• Ability to work independently and communicate effectively.
• Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment.

Preferences

• Advanced Tableau experience developing dashboards and data visualization.
• Advanced Lucid experience creating process flows, diagrams, and visual documentation.
• Bachelor’s degree, certificates or other experience in Business, Economics, Accounting/Finance, project management or data analytics; other areas of focus will be considered.
• FINRA licensing (e.g. Series 7, 24, 63 and 65/66).