Tech Stack

Description

You will ensure the accuracy and timeliness of regulatory reporting obligations, working with cross-functional teams to monitor, reconcile, and resolve exceptions. This role involves managing regulatory inquiries, coordinating process improvements, and maintaining documentation to support compliance with evolving regulations.

Requirements

• Bachelor's degree in Finance, Accounting, Economics, or related field.
• 3–5 years of experience in regulatory reporting within financial services.
• Experience with FINRA TRACE, MSRB RTRS, or FINRA TRF/ORF.
• Advanced proficiency in Microsoft Excel (VLOOKUP, PivotTables, macros).
• Strong analytical skills and knowledge of FINRA and MSRB reporting rules.

Responsibilities

• Identify and resolve discrepancies in regulatory exception reports across trading desks and product types.
• Serve as primary contact for internal and external regulatory inquiries, escalating complex issues as needed.
• Coordinate with IT and Operations to implement system enhancements and procedural updates.
• Maintain and update regulatory reporting Written Supervisory Procedures (WSPs) and control documentation.
• Manage and validate data inputs into regulatory reporting systems (e.g., TRACE, RTRS, TRF, ORF).