Regulatory Operations Analyst; Non-Financial Regulatory Reporting

Overview

Regulatory Operations Analyst (Non-Financial Regulatory Reporting) – Hybrid role. Local candidates only. 3 days in office, 2 days work from home per week. Laptop provided. Opportunities for extension or conversion based on attendance, performance, and availability of an FTE opening.

The Regulatory Operations Analyst plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies. The team is seeking candidates with relevant experience in Trading or Compliance to provide context for regulatory obligations and operational risk.

The position collaborates with management to identify and mitigate risks and contributes to interpreting and implementing new or evolving regulatory requirements, with regular interaction with internal stakeholders including compliance teams and internal auditors to investigate observations and ensure reporting integrity.

• Produce, validate and submit non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.).
• Collaborate with business units (Brokerage Operations, Trading, Compliance, IT, Legal).
• Interpret new or changing securities rules, regulations, policies or laws; update processes to ensure compliance and update departmental procedures.
• Compile operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight.
• Plan and execute remediation efforts for identified issues with minimal guidance; assist in formalizing milestones to implement corrective action plans.
• Assist in designing, planning, and executing testing strategies; under supervision, may lead testing efforts and communicate issues to management; draft risk-mitigation recommendations.

• Experience with non-financial regulatory reporting requirements.
• Understanding of financial markets and regulatory terminology.
• Back office brokerage operations processes and procedures; trading lifecycle (orders, executions, allocations).
• Knowledge of FINRA, SEC and Exchange trading rules; ability to interpret applicable regulations.
• Ability to create procedures and process documentation; evaluate processes and identify risks and controls.
• Experience recommending actions to resolve gaps or mitigate risk.
• Microsoft Office (Excel, Access, PowerPoint) and other software proficiency.
• Strong written and verbal communication; ability to engage and influence business partners.
• Ability to manage multiple tasks with interruptions and changing priorities.
• Quick understanding of complex subject matters; strong critical thinking in a dynamic environment.

• Contract

• Finance

• Mid-Senior level

Benefits:
Medical insurance, Vision insurance, Disability insurance