Non Financial Regulatory Reporting Associate ID - 13220
About the job
Your Role:
This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on Non-Financial Regulatory Reporting. The team is 100% distributed and remote. The role will be reporting directly to the Director of Trading Operations and NFRR Manager.
Things You Get To Do:
- Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
- Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
- Keep procedural documents up to date to comply with securities regulatory reporting obligations
- Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
- Serves as an escalation point to resolve broad and complex operational issues related to NFRR
- Execute the processes to establish, maintain, review, test, and modify Operations practices.
- Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
- Big data analysis and assessment to discover trends and recommend improvements.
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Perform other duties and responsibilities as assigned.
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Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
-
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Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
-
Keep procedural documents up to date to comply with securities regulatory reporting obligations
-
Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
-
Serves as an escalation point to resolve broad and complex operational issues related to NFRR
-
Execute the processes to establish, maintain, review, test, and modify Operations practices.
-
Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
-
Big data analysis and assessment to discover trends and recommend improvements.
-
Perform other duties and responsibilities as assigned
-
A successful candidate must be willing to learn in-the-weeds knowledge on the below-named systems:
- Consolidated Audit Trail Implementation (CAT): BA work mapping firm functions to reporting scenarios and reporting UAT testing. Obtaining strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired.
- Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
- Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system.
- Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and implement regulatory rule changes.
- Trade Reporting and Compliance Engine (TRACE): Over-the-Counter bond market trades reporting system.
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Global Markets Operations/Technology experience preferred
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Understanding of NFRR rules
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Experience with regulatory programs
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Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
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Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement
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Ability to collaborate and work effectively in a remote team environment
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Must possess the ability to adapt to a changing business and regulatory environment
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Enjoys challenges and taking ownership of new responsibilities
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Self-starter takes initiative
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Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and MySQL database skills
