Trade Lifecycle Associate I, Securities Operations Regulatory Reporting

What you'll do

• Supervise daily production and submission of regulatory reports for US Broker Dealer business.
• Validate source report logic to ensure compliance with regulatory standards.
• Develop controls to improve the quality and reliability of regulatory reporting.
• Lead strategic projects impacting the regulatory reporting landscape.
• Implement process improvements to enhance efficiency in regulatory submissions.
• Utilize advanced data analysis tools like Alteryx and Tableau for risk reduction.

What we're looking for

• Proven ability to manage multiple priorities and deliver results under pressure.
• Experience supervising the production and submission of regulatory reports for US Broker Dealer business.
• Familiarity with regulatory reporting processes and requirements, including FINRA, SEC, and Federal Reserve Board standards.
• Strong written and verbal communication skills in a professional environment.
• Bachelor’s degree in Finance or related field, or equivalent work experience.
• Demonstrated proficiency with advanced data analysis tools like Alteryx, Tableau, and LLM Suite.
• FINRA Series 99 License required within 120 days of start date.