An established Investment Bank and Institutional Brokerage firm is looking for a Regulatory Compliance professional with expertise in Compliance and/or Regulatory Operations roles at broker-dealers. The Analyst will be in charge of all non-financial regulatory reporting requirements, such as TRACE, MSRB, CAT, CAIS, TRF/ORF, and Rule 606.
Key Responsibilities:
- Ensuring the firm's compliance with regulatory reporting obligations and trade surveillance requirements
- Identifying and resolving any reporting errors or exceptions in a timely manner
- Providing training and guidance to Trading and other personnel on reporting and surveillance matters
- Liaising with trading platforms and reporting vendors involved in regulatory reporting
- Analyzing trading data to detect and prevent market abuse or insider trading
- Designing and implementing controls and procedures to enhance the quality and efficiency of the firm's regulatory reporting and trade surveillance functions
- Monitoring and tracking industry developments, best practices, and rules changes, and participating in industry working groups
- Testing and validating regulatory reporting and trade surveillance systems and processes
- Compiling and presenting statistics, report cards, and metrics on the firm's regulatory reporting and trade surveillance performance to management and supervisors
- Maintaining comprehensive records of trade surveillance activities, investigations, and outcomes
- Assisting with regulatory exams and inquiries
- Performing other duties as assigned
Requirements
- 2-4 years of experience in trade surveillance, general compliance, or financial services
- Familiarity with FINRA, MSRB, and FINRA CAT portals and reporting platforms, such as TRACE and CAT/CAIS, and NASDAQ TRF/ACT Workstation
- Strong knowledge of applicable regulations relating to Broker-Dealer activity
- Strong analytical and critical thinking skills
- Proficiency in Bloomberg and Excel
- Bachelor's degree in Finance, Economics, Accounting or related field
- ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications preferred
Benefits
- Health Care Plan (Medical, Dental & Vision)
- Retirement Plan (401k with company match, IRA)
- Employee Profit Sharing Plan
- Life Insurance (Basic, Voluntary & AD&D, Group Whole Life)
- Short Term & Long Term Disability
- Accident and Critical Illness Benefit Plans
- PTO
- Follow the NYSE Holiday Schedule
- Building Amenities Include: Exclusive Lounge areas, 24/7 Gym/Wellness Center, lounge areas, building food hall and more
