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Operations Reporting Production Analyst - Req. 1901104


Description


Job Summary:


Primary responsibility of the position will be to assist with the integration and complete setup for the new Consolidated Audit Trail (CAT) reporting initiative. Associate will also be responsible for  the production, validation and submission of non-financial regulatory reports (e.g., Electronic Blue Sheets, Large Options Position Report, Treasury International Capital, Short Interest, etc.) on behalf of the firm to various regulatory agencies and SROs (e.g., FINRA, SEC, Federal Reserve).  Other duties include assisting with the creation and revision of desktop procedures, writing supervisory checklists and policies, validating the regulatory reports for completeness and accuracy prior to submission to ensure that all reporting requirements are met. 

 
Essential Duties and Responsibilities:


• Responsible for the production and submission of various regulatory reports (e.g. EBS, LOPR, Short Interest, TIC, INSITE, 13 F/G, CAT)
• Supports the development, implementation and maintenance of policies, procedures and controls
• Identifies and researches reporting variances, gaps, data quality issues and other exceptions
• Assist in the review and analysis of new reporting requirements rule changes or system changes that impact the reporting
• Assists in the planning and execution of remediation efforts
• Participates in various data quality projects, analyzes regulatory reporting system logic and performs UAT testing
• Identifies and implements solutions for operational efficiency and productivity improvements to mitigate regulatory and reputational risk
• Contributes in the review and analysis of regulatory reporting requirements, system implementation and testing.
• Responds to regulatory inquiries that originate from external/internal audits and exams
• Communicates with internal businesses and technology partners regarding any new or updated reporting
• Researches and assists in the remediation of any audit/exam findings.
• Collaborates with other lines of business (e.g., Brokerage Operations, Finance, Trading, Compliance, IT, Legal) to identify any reporting gaps and system improvements that mitigate reputational and regulatory risk
• Performs other duties and responsibilities as assigned


Qualifications


Knowledge, Skills, and Abilities:


Knowledge of:


• Back office brokerage operations
• Trading life cycle (Orders, Executions, Allocations)
• Financial markets, products, services
• FINRA, SEC, and Exchange rules/regulations
• Trade reporting requirements (EBS, LOPR, Short Interest, INSITE, 13 F/G, etc.)
• Regulatory terminology, concepts, and guidance
• Accounting principles/concepts
• System/process testing


Skill in:


• Creating, documenting and maintaining policies and procedures
• Conducting quality control reviews
• Evaluating processes/systems and identifying risks and controls
• Recommending appropriate actions/revisions to resolve any identified gaps or mitigate risk
• Executing test strategies, methodologies and analysis
• Written and Verbal Communication
• Microsoft Office applications (Excel, Access, PowerPoint)


Ability to:


• Build strong working relationships with people at all organizational levels
• Communicate both in writing and orally to all levels of the firm
• Support efforts in the evaluation or implementation of a process/control
• Interpret financial/brokerage rules, regulations and security laws
• Manage multiple tasks with changing priorities
• Meet deadlines in a fast paced environment with constant interruptions
• Ability to quickly understand complex subject matter and demonstrate critical thinking


Educational/Previous Experience Requirements:


• Associate’s degree in a related field and 3 to 5 years’ experience in the brokerage operations or financial services
~or~
• Any equivalent combination of experience, education, and/or training approved by Human Resources


Licenses/Certifications:


• None required