Job Description
Our client, a major bank in New York City, is looking for
Non-Financial Regulatory Reporting Officer. Permanent position with competitive compensation package (base is upt to 100K), excellent benefits, and target bonus.
Must be 2/3 days per week in New York City Office.
Operations Regulatory Reporting Officer About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for the execution and submission of regulatory reports to the various regulators. The team’s daily operations ensure the bank meets its regulatory reporting obligations and that data is reported in an accurate and timely manner.
Summary The Operations Regulatory Reporting Officer position will play a key role in the development of this newly created team to ensure the bank meets its obligations to deliver timely, complete, and accurate regulatory reports. They will be responsible for executing and monitoring these reports on the appropriate cadence (e.g. daily, monthly, quarterly, etc). They will also proactively investigate and remediate any breaks or issues ahead of submission to ensure reporting integrity. They should be comfortable and competent in working with large data sets. Additionally, in this role, the individual will need to understand the various complex regulatory rules and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders (e.g., legal, compliance, IT, etc.) to support the creation and maintenance of these reports. This role will provide the individual the opportunity to expand their expertise in the regulatory reporting space and contribute to the creation and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting.
Responsibilities - Generate, submit, and/or monitor various regulatory reports on a daily, monthly, quarterly, cadence as appropriate
- Contribute to end-to-end regulatory reporting process design and implementation
- Assist in the design and implementation of a control framework
- Execute controls over the end-to-end process as appropriate
- Contribute to the analysis and research required to transform data into information for reporting purposes
- Leverage large data sets to investigate issues and ensure data quality and integrity
- Engage with the appropriate stakeholders on various regulatory changes to understand the impacts and requirements
- Take the lead on analysis and implementation of regulatory reporting solutions
- Work with IT to specify requirements for new and/or existing regulatory reports
- Provide presentations, information and/or recommendations to senior management as requested
- Assist in the rollout of new regulatory reporting platform
Qualifications - Bachelor’s degree or equivalent combination of education and work experience required. Accounting or Finance concentration preferred
- 4+ years of work experience preferred at a large financial institution, knowledge of regulatory reporting and controls
- Solid understanding of key financial products particularly equities, fixed income and derivatives instruments
- Strong experience in one of the key product areas covered by the team (e.g., equities, fixed income, derivatives, etc.)
- Comfortable working with data and using it to proactively identify potential reporting issues
- Strong written and oral communication skills and ability to work within a team in a dynamic environment
- Knowledge of various FINRA, SEC, or CFTC regulations
- Experience with various regulatory reports (e.g. CAT, CAIS, EBS, LOPR, etc)
- Highly organized, strong attention to details, and methodical approach to analysis
- Goal driven and self-motivated
- Experience designing processes and controls preferred
- Eligibility to work in local market
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Keywords:financial bank regulatory reporting FINRA SEC CFTC regulations CAT CAIS EBS LOPR Audit trail electronic blue sheets
Job Tags
Permanent employment, Work experience placement, Work at office, Local area, 2 days per week, 3 days per week,