Senior Associate, US Regulatory Services

Overview

What is the opportunity?

US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self-regulatory organizations and the SEC. The individual in this role is primarily responsible for day-to-day operational execution to broader planning within the area of expertise. This could include direct or indirect supervision of junior employees in a Manager or Team Lead capacity as well as direct “ownership” of functions.

Functions within the team can include remediating issues identified; control and risk management and reporting process improvement; providing support for regulatory change initiatives; and researching and responding to regulatory inquiries and exams. Additionally, the individual will utilize subject matter expertise while representing the department or function at a broader level. Additional responsibilities may include performing user testing for existing process enhancements, documenting new procedures related to new reports onboarded while acting as a go-to-person/escalation point for questions from junior analysts and other areas.

This role may focus on multiple forms of regulatory reporting, such as CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13

DGH, TRACE, MSRB, and more. The role works closely with several areas of the Firm to support the above functions, including various business groups within the Firm, Compliance, Legal, Finance, and Technology.

• Fully knowledgeable on the day-to-day reporting activities and ensures all procedures are followed for assigned reports (May include CAT, CAIS, SEC 13
  
  DGH, TRACE, EBS, LOPR or as assigned by manager)
• As required, serves as a final reviewer for assigned regulatory reporting submissions
• Acts as an effective layer of escalation for junior or less experienced staff on complex issues
• Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified
• Responsible for prioritization of reporting anomaly issues, which may include requirement development
• May be responsible to produce presentations for a range of stakeholders highlighting achievements, reporting metrics, and other relevant material
• May be responsible for assisting with impact assessment of system / business changes
• Develops and harnesses ideas for continuous process improvement
• Document, revise and maintain procedures as required; ensure team is trained on all procedures
• May have management responsibilities for a small team or serve as a Functional SME
• May be assigned to work on projects outside of responsibilities listed above

Basic Qualifications

• Bachelor’s Degree or Equivalent Required, preferably in Engineering or Business or a related subject

• Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives)
• Strong understanding of the trade life cycle (Orders, Executions, Allocations) is required
• Some understanding of Middle Office Trade Processing is required
• Some experience in Front Office / Middle Office trade processing is a plus
• Management experience is a plus
• Strong proficiency in MS Word, Excel (inclusive of Pivot Tables and VLOOKUPs), PowerPoint, and Outlook

Other

Required Qualifications:

• Ability to work well under pressure, adapt to unexpected events, prioritize and multi-task in a deadline driven environment
• High attention to detail
• Ability to maintain high standards despite pressing deadlines
• Ability to solve problems quickly and efficiently
• Demonstrated dependability and sense of urgency about getting results
• Requires excellent interpersonal and communication skills
• Ability to build strong working relationships with people at all organizational levels
• Must have excellent judgment, professionalism and integrity
• Team player with a positive attitude

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