Regulatory Operations Analyst

Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical Non-Financial Regulatory Reporting obligations. In this role, you'll leverage your expertise in  
** regulatory operations
** to help support the firm's compliance with SEC, FINRA, OCC, Federal Reserve, exchange and other regulatory reporting requirements while driving process improvements that strengthen risk controls and operational efficiency.

This hybrid-friendly position offers the flexibility of remote work combined with the benefits of in-person collaboration, requiring  
** three days per week in our Southfield, MI or Memphis, TN office** .

** What You'll Do*
* As a Regulatory Operations Analyst, you will play a key role in managing and enhancing the firm's non-financial regulatory reporting program. The role partners with Operations, Trading, Compliance, Technology, Legal and Risk Management teams to investigate reporting issues, improve data quality, regulatory reporting controls and governance requirements.

** Key Responsibilities*
* + Produce, validate, reconcile, and submit Non-Financial Regulatory reports, including:

+ Consolidated Audit Trail (
** CAT** )

+ Electronic Blue Sheets (
** EBS** )

+ Large Options Position Reports (
** LOPR** )

+ Short Interest Reporting

+ Treasury International Capital (TIC)

+ SEC Schedule 13F

+ Other regulatory reporting obligations assigned

+ Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies.

+ Partner with Brokerage Operations, Trading, Compliance, Technology, and Legal teams to address reporting issues and improve data quality.

+ Evaluate new and changing regulatory requirements and support implementation efforts across impacted business areas.

+ Participate in regulatory examinations, audits, and inquiries from FINRA, SEC, and other regulatory bodies.

+ Conduct root-cause analysis and lead remediation efforts for identified reporting issues.

+ Support risk assessments, testing initiatives, and control enhancements to strengthen regulatory reporting processes.

+ Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies.

+ Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

** What We're Looking For*
* ** Experience*
* + Hands-on experience with  
** Non-Financial Regulatory Reporting
** in a broker-dealer or financial services environment.

+ Experience supporting regulatory reporting, compliance operations, or brokerage operations.

+ Strong understanding of securities markets, trading activity, and the trade lifecycle, including:

+ Orders

+ Executions

+ Allocations

+ Settlements

+ Securities operations and reporting impacts

+ Knowledge of FINRA, SEC, and exchange regulatory requirements.

+ Experience analyzing data, researching exceptions, and resolving reporting discrepancies.

+ Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.

+ Experience supporting regulatory examinations and audits.

+

Experience with one or more regulatory reporting obligations Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting or similar reporting requirements.

+

Experience with process improvement, controls testing, or risk management initiatives.

+ Familiarity with operational workflows within brokerage or clearing environments.

** Knowledge & Skills*
* ** Technical Knowledge*
* + Artificial Intelligence (AI) and AI - assisted reconciliation and exception investigation

+ Advanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliation

+ Reporting and workflow management systems

+ User Acceptance Testing (UAT) support

+ Regulatory risk management and controls

** Core Skills*
* + Regulatory reporting validation and reconciliation

+ Understanding and application of regulatory requirements

+ Analytical problem-solving and critical thinking

+ Root-cause analysis and issue remediation

+ Process improvement and workflow design

+ Regulatory interpretation and implementation

+ Strong written and verbal communication

+ Cross-functional partnership and stakeholder management

** Education/Experience*
* + Bachelor's Degree (B.A.) in related field (preferred)

+ 2-years' experience in financial services, brokerage operations, regulatory reporting, compliance, securities operations (preferred)

+ Any equivalent combination of experience and education

** Licenses & Certifications*
* + Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.

+ Series 99 or ability to obtain within 120 days (as required by FINRA), required

Candidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional examination.