About This Team
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. To further these goals, our Compliance team is looking for a new team member to lead our non-financial regulatory reporting efforts.
We seek a detail-oriented professional who will ensure our firm meets non-financial regulatory reporting requirements for securities and commodities regulators. This role involves developing systems, managing regulatory reports, and advising on business processes and new products.
Responsibilities
- Work under minimal supervision to complete non-financial regulatory reporting, ensuring the firm complies with industry and firm regulations.
- Interpret technical specifications for regulatory reporting and draft business requirements documents.
- Oversee the production, validation, and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Report (LOPR)).
- Collaborate with management to identify opportunities for operational efficiency and risk mitigation.
- Update processes and departmental procedures with guidance from supervisors or managers.
- Develop and coordinate operational desktop procedures and written supervisory policies, ensuring reports are complete and accurate prior to submission.
Qualifications
- Knowledge of securities and commodities regulations, with a focus on 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 workgroups and departments.
- Strong reading comprehension and ability to interpret rules and publications.
- Experience in creating procedures and business process workflow documentation.
- Ability to recommend actions to resolve gaps or mitigate risks.
- Proficiency in Microsoft Office (Excel, Access, PowerPoint), SQL, JIRA, and other relevant software.
- Capability to manage multiple tasks with potential interruptions and shifting priorities.
- Quick comprehension of complex subjects.
- Demonstrated critical thinking in a dynamic environment.
Requirements
- Bachelor's Degree.
- Willingness to obtain Series 7 and/or Series 99.
- Familiarity with fintech culture and comfortable working with developers and engineers.
- Solid 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).
- Excellent attention to detail and the ability to identify data irregularities or patterns.
- Ability to work under pressure and handle sensitive or confidential information.
