Consolidated Audit Trial

Consolidated Audit Trial (CAT Reporting)

Inviting applications for the role of Consolidated Audit Trial (CAT Reporting).

• Act as primary SME for CAT reporting
  , controls, submissions, and exception management.
• Investigate External Regulator / FINRA / Exchange queries related to order lifecycle events, linkage issues, clock synchronisation, TID mismatches, FDID, LTID, allocations, etc.
• Perform root‑cause analysis (RCA) and identify reporting breaks, data quality issues, enrichment gaps, reference data discrepancies.
• Draft formal regulatory responses
  , position papers, and evidence‑based remediation reports with clear lineage & control sign‑off.
• Retrieve and validate data from trade/order management systems, upstream reference data and reporting platforms.
• Maintain complete audit trail
  , documentation, data extracts and supporting evidences for all responses.
• Support remediation projects, rule updates (CAT NMS Plan changes), go‑live readiness, UAT testing and control enhancements.
• Liaise with Compliance, Technology, Front Office, Middle Office, QA & Ops teams for issue closure.
• Drive MI reporting, metrics, control frameworks, and continuous improvement for CAT reporting processes.
• Work independently and manage prioritisation of multiple concurrent inquiries.

• Strong experience in Consolidated Audit Trail (CAT) regulatory reporting (Order, Allocation, Route, Fulfillment).
• Deep understanding of US equities/Options trade lifecycle
  .
• Prior experience responding to FINRA/SEC/Exchange requests including submissions of evidence packs.
• Excellent analytical and investigation skills with attention to detail.
• Ability to work as self‑starter with minimal supervision
  .
• Strong Business Analyst capability – requirement gathering, documentation, JIRA stories, process mapping.
• Hands‑on experience analysing data via SQL / Excel / Alteryx / Python preferred.
• Familiarity with Trade Booking, OMS/EMS systems, reporting vendors (e.g., Broadridge/DTCC/TRAX) preferred.
• Strong communication, stakeholder management and ability to articulate findings to senior stakeholders.
• Prior experience in global bank regulatory reporting teams (MiFID/EMIR/CAT/SEC/TRACE a plus).
• Lead AI‑first transformation – Build and scale AI solutions that redefine industries.
• Make an impact – Drive change for global enterprises and solve business challenges that matter.
• Accelerate your career – Gain hands‑on experience, world‑class training, mentorship, and AI certifications to advance your skills.
• Grow with the best – Learn from top engineers, data scientists, and AI experts in a dynamic, fast‑moving workplace.
• Committed to ethical AI – Work in an environment where governance, transparency, and security are at the core of everything we build.
• Thrive in a values‑driven culture – Our courage, curiosity, and incisiveness – built on a foundation of integrity and inclusion – allow your ideas to fuel progress.

The approximate annual base compensation range for this position is $100k-$130k base. The actual offer, reflecting the total compensation package plus benefits, will be determined by a number of factors which include but are not limited to the applicant’s experience, knowledge, skills, and abilities; geographic location; and internal equity.

Genpact is an Equal Opportunity Employer and considers applicants for all positions without regard to race, color, religion or belief, sex, age, national origin, citizenship status, marital status, military/veteran status, genetic information, sexual orientation, gender identity, physical or mental disability or any other characteristic protected by applicable laws. Genpact is committed to creating a dynamic work environment that values respect and integrity, customer focus, and innovation.

Furthermore, please do note that Genpact does not charge fees to process job applications and applicants are not required to pay to participate in our hiring process in any other way. Examples of such scams include purchasing a 'starter kit,' paying to apply, or purchasing equipment or training.

• Not Applicable

• Full‑time

• Accounting/Auditing

• Business Consulting and Services
• Financial Services