Join us in discovering solutions hidden in large data sets and collaborating with stakeholders to enhance compliance and business outcomes. If you are passionate about leveraging data to drive regulatory reporting excellence, we encourage you to apply.

Job summary

As a Program/Project Manager- Regulatory Reporting in Consolidated Audit Trail team, you will oversee the daily supervision of the Consolidated Audit Trail for order lifecycle and allocation reporting, as well as the Customer Account Information System. You will utilize large data sets to review exceptions, identify potential risks, and evaluate existing compliance risks across all business functions and systems that contribute data to regulatory reporting data warehouses. You will be working with both structured and unstructured data.

Job responsibilities

Supervise daily production reporting under rules (FINRA and SEC), utilizing data mining and various data tools.Respond to regulatory and legal inquiries with data-driven insights.Collaborate with a wide range of stakeholders and functional teams to reduce compliance risks and improve business outcomes.Develop and deliver sustainable regulatory reporting supervision, tools, and processes.Manage multiple tasks concurrently with minimal supervision.

Required qualifications, skills and capabilities

Bachelor’s degree, or equivalent experience, in operations, computer science, or other quantitative discipline.10+ years of related experience and license (Series 24 or Series 99).Experience with Consolidated Audit Trail or Customer Account Information System reporting and translating it into value-adding business projects leveraging technology with the latest regulatory requirements.Professional experience in equities trade support, compliance, or operations, supervision of regulatory reporting, building and leading teams.Proven track record of working with large complex data sets, drawing conclusions, and reporting findings.Thorough understanding of United States Equity and United States Over-the-Counter market structure, compliance, and regulatory reporting.

Preferred qualifications, skills and capabilities

Experience with United States Broker-Dealer regulation, exams, and inquiries; equities compliance, or trade reporting.