Role:
The IT regulatory analyst is a business analyst position within the GM IT Regulatory IT team. The analyst will work closely with Business, Regulatory Reporting Controls/Operations, Production Support and Compliance teams.
Responsibilities:
• Assisting the team in analyzing, troubleshooting & identifying issues related to the completeness and accuracy of several regulatory & compliance surveillance reports such as OATS, ACT, RegSHO, Market Abuse, Trade Blotters etc. on a day to day basis.
• Assist with extracting Order, Trade & Position information requested by Compliance teams related to regulatory inquiries & exams.
Requirements:
• A Bachelor's degree in Finance, Business or Technology
• A minimum of 2 - 3 years' experience in the Financial Services Industry with emphasis on Front Office Trading Systems & function either in a Business Analysis or Support role across multiple assets; Equities, Equities & Commodities Derivatives.
• A good understanding of the Equities & Derivatives Market Structure
• Excellent analytical, logical and problem solving skills.
• A keen desire and ability to learn/acquire knowledge of the regulatory reporting rules and obligations required of a U.S. Broker/Dealer across multiple asset classes.
• Excellent communication skills
• Knowledge of the FIX protocol preferred
• Proficiency in MS Excel
