Regulatory Reporting Specialist (CAT, TRACE, LOPR)
A technology-driven financial services firm is seeking a Regulatory Reporting Associate to join its Compliance function. This role is responsible for supporting the firm's U.S. regulatory reporting obligations, with a primary focus on CAT, TRACE, and Large Options Position Reporting (LOPR). Working closely with Compliance, Operations, Technology, and Trading teams, the successful candidate will help ensure accurate, complete, and timely regulatory submissions while identifying and resolving reporting exceptions. The position offers the opportunity to play a key role in strengthening reporting controls, improving data quality, and enhancing regulatory reporting processes in a fast-paced trading environment. The individual will also monitor regulatory developments, assess reporting risks, and contribute to ongoing process improvement initiatives.
Requirements
- Experience supporting regulatory reporting programs, specifically CAT, TRACE, and LOPR
- Strong understanding of U.S. broker-dealer regulatory reporting requirements and reporting workflows
- Proven experience investigating reporting breaks, reconciling exceptions, and resolving issues within regulatory deadlines
- Ability to perform data analysis and root-cause investigations across trade lifecycle and reporting processes
- Experience developing and enhancing controls to ensure reporting accuracy, completeness, and timeliness
- Knowledge of trade flows, order lifecycle events, and regulatory reporting data requirements
- Strong Excel and SQL skills for data analysis, reconciliations, and exception management
- Experience documenting procedures, controls, and reporting processes
- Proactive and self-motivated with a strong sense of ownership and accountability
- Ability to communicate effectively with Compliance, Operations, Technology, and Front Office stakeholders
- Strong attention to detail and commitment to maintaining high-quality regulatory reporting standards
- Demonstrated interest in regulatory developments and continuous process improvement initiatives
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