This is Hybrid role (4 days in office /1 day remote)We are seeking a highly motivated Regulatory Reporting Operations Analyst to join our Compliance team. This role is pivotal in ensuring the accuracy, completeness, and timeliness of all regulatory reporting obligations. You will work closely with cross-functional teams to monitor, reconcile, and resolve exceptions, while driving process improvements and maintaining compliance with evolving regulatory frameworks.
This position is ideal for a detail-oriented professional with a strong understanding of financial regulations and operational processes. You will serve as a key point of contact for regulatory inquiries and be responsible for managing the end-to-end regulatory reporting lifecycle.
Responsibilities:- Exception Report Review & Reconciliation:
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. - Regulatory Inquiries Management:
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). - Process Coordination & Enhancement:
Coordinate 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. - Documentation & Procedure Maintenance:
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. - System & Data Management:
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:Education & Experience:- 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.
Regulatory Knowledge:- 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.
To be successful in this position, you will have the following:- Self-motivated and able to handle tasks with minimal supervision.
- Superb analytical and problem-solving skills.
- Excellent collaboration and communication (Verbal and written) skills.
- Outstanding organizational and time management skills.
Company Benefits & Perks- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Daily company lunch allowance provided and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
