An electronic trading platform is looking to grow their team! The Compliance team is committed to maintaining the highest standards of regulatory compliance and ethical conduct.
This role will be responsible for leading non-financial regulatory reporting. This position is ideal for a meticulous professional who ensures our company complies with non-financial regulatory reporting standards set by securities and commodities regulators. You will be responsible for developing systems, managing regulatory reports, and offering guidance on business processes and new product development.
Responsibilities:
- Independently utilizes intermediate knowledge and skills gained through experience and training to complete non-financial regulatory reporting, ensuring the firm complies with industry and firm regulations.
- Interprets regulatory reporting technical specifications and drafts business requirements documents for regulatory reporting systems.
- Manages the production, validation, and submission of non-financial regulatory reports, including Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), and Large Options Position Report (LOPR).
- Collaborates with management to identify opportunities for operational efficiency and productivity improvements to mitigate financial, reputational, and regulatory risk.
- Works with management to update processes and departmental procedures with guidance from supervisors or managers.
- Assists in developing and coordinating operational desktop procedures and written supervisory policies (WSPs), ensuring reports are complete and accurate before submission with guidance from supervisors or managers.
Qualifications:
- In-depth knowledge of securities and commodities regulations, particularly non-financial reporting such as CAT, Reg NMS, Reg SHO, and LOPR.
- Ability to design operational testing and tracking systems.
- Understanding of finance and securities industry operations.
- Excellent coordination skills across various work groups and departments.
- Strong reading comprehension and ability to apply information from rules and publications.
- Expertise in creating procedures and business process workflow documentation.
- Ability to recommend appropriate actions or revisions to address gaps or mitigate risk.
- Proficiency in Microsoft Office (Excel, Access, PowerPoint), SQL, JIRA, and other software applications.
- Ability to manage multiple tasks with potential interruptions and changing priorities.
- Quick understanding of complex subjects.
- Demonstrated critical thinking skills in a dynamic environment.
Requirements:
- Bachelor's Degree.
- Willingness to obtain Series 7 and/or Series 99.
- Familiarity with fintech culture and comfort in working with developers and engineers.
- Strong knowledge of financial markets, trading products, and market regulations.
- Familiarity with non-financial regulatory reporting rules and issues (OATS/CAT, LOPR, Short Interest Reporting, INSITE, TRACE, OTCRF/TRF, LTR/OCR, Portfolio Margin/Margin Balance Reporting).
- Exceptional attention to detail and the ability to identify irregularities or patterns in data.
- Ability to work under pressure and handle sensitive or confidential information effectively.
