Operations Regulatory Reporting Analyst - VN

Operations Regulatory Reporting Analyst - VN2363

Join to apply for the Operations Regulatory Reporting Analyst - VN2363 role at Marex

Purpose of Role:

Marex is seeking an Operations Regulatory Reporting Analyst who will support and maintain operational systems and static data associated to regulatory reporting processes/controls, and support, maintain and develop all financial and/or regulatory reporting solutions/controls to meet the firms exchange and regulatory requirements across multiple asset classes including Futures, Options, Swaps, Equities and Fixed Income.

• Daily monitoring and problem resolution associated to CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting) (for Futures and Part 20), Dodd Frank, and other Position and Transactional reporting
• Support/maintain general static data, Exchange and Regulatory enrichment information across platforms utilised by Operations.
• Assist with system changes and upgrades in line with business, exchange & regulatory requirements.
• Ensure written procedures are in place and up to date for daily/monthly departmental tasks
• Efficient email management, including both personal & group mailboxes
• Ensuring compliance with the company’s exchange/regulatory requirements under and not limited to FINRA, SEC and CFTC
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with Marex’s Code of Conduct
• To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
• To report any breaches of policy to Compliance and/ or your supervisor as required
• To escalate risk events immediately
• To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.

• Excellent verbal and written communication skills
• A collaborative team player, approachable, self‑efficient and influences a positive work environment
• Resilient in a challenging, fast‑paced environment
• Ability to take a high level of responsibility in a fast pace and high‑volume environment
• Excels at building relationships, networking and influencing others
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

• Experience of CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting), Trace and other transactional Regulatory Reporting requirements essential
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, OCC, CFTC, NFA and other Self Regulatory Organizations.
• Previous exposure/Knowledge of Dodd Frank
• Ability to work effectively under pressure in a busy environment
• Good communication skills within team & other business areas
• Flexible & accustomed to constant changing responsibilities
• Following a strict & disciplined regime, offering assistance to all employees
• Demonstrates enhanced understanding of Futures & Options industry in areas including;
  Reconciliations, Position Maintenance, Regulatory Reporting and static data
• Problem solving skills; ability to resolve issues in a timely & efficient manner
• Able to work on own initiative & be part of a team
• Ability to develop and enhance systems and processes to improve efficiency
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Salary Range: 85,000 to $110,000 per year and eligible for discretionary bonus.

• Respect - Clients are at the heart of our business, with superior execution and superb client service the foundation of the firm. We respect our clients and always treat them fairly.
• Integrity - Doing business the right way is the only way. We hold ourselves to a high ethical…