Are you ready to make a significant impact in the regulatory landscape? Join our Regulatory Reporting team in Securities Operations, where you'll play a crucial role in producing and submitting regulatory reports for our Broker Dealer and Custody businesses. If you're detail-oriented and passionate about data analysis and compliance, this is the opportunity for you!

Job Summary:

As a Regulatory Reporting Analyst within Securities Operations, you will be responsible for gathering, analyzing, validating, and transmitting data directly to FINRA/SEC and internal partners for Electronic Bluesheets, Form Custody, and Short Interest. You will interface directly with internal teams, including compliance, settlements, and IT, to review and migrate new regulatory reporting processes. Your role will involve developing controls to enhance the accuracy of the firm’s regulatory reporting processes, leading strategic projects impacting the regulatory landscape, and identifying process improvements to promote efficiency while maintaining quality. You will develop solutions in Alteryx and Tableau to reduce manual touch points and ensure compliance with regulatory requirements.

 Job Responsibilities:

Interface directly with internal teams, including compliance, settlements, and IT, to review and migrate new regulatory reporting processes.Review source report logic for accuracy and compliance with regulatory requirements.Develop controls to enhance the accuracy of the firm’s regulatory reporting processes.Lead and contribute to strategic projects impacting the regulatory landscape.Identify and develop process improvements to promote efficiency while maintaining quality.Develop solutions in Alteryx and Tableau to reduce manual touch points.

Required Qualifications, Capabilities, and Skills:

Strong team player who can work well and build partnerships with colleagues of various levels across multiple locations.Self-motivated and comfortable working with large amounts of data.Diligent with a high level of attention to detail.Ability to work under pressure, prioritize, multitask, and bring tasks to complete closure.Risk-based mindset.Strong written and verbal communication skills in a professional setting.FINRA Series 99 License required within 120 days after start.

Preferred Qualifications, Capabilities, and Skills:

Related field and/or equivalent work experience preferred.Experience with advanced data analysis tools is a plus (e.g., Alteryx, Tableau, Xceptor).Bachelor’s degree in Finance Securities industry experience is a plus.