Regulatory Reporting Business Control Sr Analyst - Asst Vice President


: $119,820.00 - $202,330.00 /year *

Employment Type

: Full-Time


: Executive Management

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The Operations Compliance & Control Sr Analyst role will focus on the regulatory execution of a new FINRA reporting requirement CAT (Consolidated Audit Trail). This role will also operate within the existing NAM Regulatory reporting group and also support subsequent phased role outs of the CAT requirements.

The Operations Compliance & Control Sr Analyst will work very closely with Compliance, Production support Management and Business/Functional areas to make certain the firm establishes a well defined exception management process around CAT exceptions (~100 million submissions on a daily basis). They will serve as a strategic advisor providing oversight and corrective action support relating to CAT daily exceptions. Additionally this role requires someone who has a strong knowledge of risk management and/or operational management disciplines, audit, policy and regulatory control structures. The ideal candidate would need to be experienced in Compliance, Regulatory or Control.

The role focuses on but is not limited to SEC Rule 613 Consolidated Audit Trail (CAT), Large Option Position Reporting, Blue Sheet Reporting, and CFTC Part 20 Swaps Large Trader Reporting where recent regulatory inquiries and internal analyses have determined a need to institute a number of changes to processes and technologies. Additional responsibilities also include:

  • Assist in developing the CAT support operating model across the firm
  • Assist in the review of exception reports for the different Regulatory reports manages by the team
  • Assist in the preparation and analysis of regulatory reports pursuant to SEC, FINRA, and CFTC rules & regulations.
  • Perform gap analyses of existing reports and propose appropriate solutions
  • Develop MIS reports for regulatory reporting data that will be distributed to senior management
  • Development systematic processes aimed at reducing the firm s exposure to regulatory risk
  • Perform analyses of enhanced reporting platforms as a member of User Acceptance Testing (UAT) groups

Additional qualifications and skill set:

  • Proficiency in Microsoft Excel is required for analytical purposes (e.g., Pivot tables, vlookups, sumifs, etc.).
  • Basic knowledge of Microsoft PowerPoint is required to support the group s presentations to senior management.
  • Bachelor s degree
  • Strong analytical skills
  • Strong written and oral communication skills
  • Strong work ethic
  • High energy level
  • Experience dealing with annual audits and inquiries by the firm s regulators (e.g., SEC, FINRA) is a plus.


Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - US


Time Type :Full time


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Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.

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Associated topics: alumni, chief marketing officer, demand, donor, facebook, hospital, marketing, principle gift, public, stewardship * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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