Regulatory Reporting Business Analyst
Listed on 2026-10-05
-
Business
Regulatory Compliance Specialist, Business Systems & Technology Analysis, Business Analyst, Financial Compliance
What is the opportunity?
US Regulatory Services Function ensures timely, accurate, and complete reporting to exchanges, self-regulatory organizations, and the SEC. This Senior Business Analyst role serves as a subject matter expert responsible for operational execution, strategic planning, and process optimization within regulatory reporting.
Job Description What is the opportunity?US Regulatory Services Function ensures timely, accurate, and complete reporting to exchanges, self-regulatory organizations, and the SEC. This Senior Business Analyst role serves as a subject matter expert responsible for operational execution, strategic planning, and process optimization within regulatory reporting.
The position focuses on remediating identified issues, developing control frameworks, managing risk assessments, and supporting regulatory and business change initiatives. The Business Analyst will research and respond to regulatory inquiries and examinations while representing the department across the organization.
Key reporting areas include Electronic Blue Sheets (EBS), Consolidated Audit Trail (CAT), LOPR, Short Interest, TRACE, MSRB, QFC, OFR NCC , FR-Y15, Volcker TVM, and other emerging regulatory requirements. This role collaborates extensively with business groups, Compliance, Legal, Finance, and Technology teams.
What will you do? Regulatory Analysis & Change Management- Conduct comprehensive impact assessments for new business initiatives, rule changes, and system modifications affecting reporting processes
- Conduct User Acceptance Testing (UAT) that includes documentation of detailed test cases, Test Execution for regulatory, business, and control changes as well as stakeholder communication on the status of the tests
- Coordinate remediation of reporting anomalies through JIRA workflow management, requirements documentation, and validation testing
- Prepare for and support regulatory examinations by organizing documentation and coordinating responses
- Drive process improvement initiatives by identifying automation opportunities and implementing efficiency enhancements
- Design, implement, and maintain controls ensuring timeliness, accuracy, and completeness of all regulatory reporting
- Develop and own performance management metrics across daily, weekly, and monthly regulatory reports
- Conduct periodic reviews of the regulatory reports and ensure adherence to the current requirements
- Produce periodic presentations for senior management highlighting regulatory metrics, risk exposures, and Change Management progress
- Serve as primary liaison for Regulatory Services on cross-functional projects, ensuring proactive communication of program impacts and prioritization
- Document, maintain, and train teams on all procedures with periodic review cycles
- Liaise with external reporting platforms including vendor platforms such as Broadridge, Fidessa and n-Tier
- Bachelor’s Degree in Engineering, Business, Finance, or related field
- At least a year of Big 4 Consulting/Advisory experience with regulatory focus
- Familiarity through experience of US regulatory reporting requirements across multiple asset classes
- Deep understanding of trade lifecycle (Orders, Executions, Allocations) and Middle Office processing
- Advanced proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) including advanced Excel functions
- Demonstrated experience in change management including impact assessment, requirements gathering, UAT, and Post Implementation Verification
- Project management methodology experience (Agile/Waterfall certification preferred)
- Understanding of data warehousing concepts and reference data sourcing
- Basic SQL and VBA skills preferred;
Python or other data analysis tools a plus - Experience with audit trail requirements and data lineage documentation
- Broadridge, n-Tier or Fidessa platform experience
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing…
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).