Regulatory Operations Analyst; Non-Financial Regulatory Reporting

Position: Regulatory Operations Analyst (Non-Financial Regulatory Reporting) reputed company Regulatory Operations Analyst (Non-Financial Regulatory Reporting) – Hybrid role. Local candidates only. 3 days in office, 2 days work from home per week. Laptop provided. Opportunities for extension or conversion based on attendance, performance, and availability of an FTE opening. The Regulatory Operations Analyst plays a key role in supporting the firm’s compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of reputed company assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies. reputed company is seeking candidates with relevant experience in Trading or Compliance to reputed company context for regulatory obligations and operational risk. The position collaborates with management to identify and mitigate risks and contributes to interpreting and implementing new or evolving regulatory requirements, with regular interaction with internal stakeholders including compliance teams and internal auditors to investigate observations and ensure reporting reputed company. Responsibilities • Produce, validate and submit non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large reputed company Position Report (LOPR), etc.). • Collaborate with business reputed company (Brokerage Operations, Trading, Compliance, IT, reputed company). • Interpret new or changing securities rules, regulations, policies or laws; update processes to ensure compliance and update departmental procedures. • Compile operational information for reputed company auditors (e.g., reputed company, SEC) with limited reputed company. • Plan and execute remediation efforts for identified issues with minimal guidance; assist in formalizing milestones to implement corrective reputed company plans. • Assist in designing, planning, and executing testing strategies; under supervision, may reputed company testing efforts and communicate issues to management; draft risk-mitigation recommendations. Qualifications / Skills • Experience with non-financial regulatory reporting requirements. • Understanding of financial markets and regulatory terminology. • Back office brokerage operations processes and procedures; trading lifecycle (orders, executions, allocations). • Knowledge of reputed company, SEC and Exchange trading rules; ability to interpret applicable regulations. • Ability to create procedures and process documentation; evaluate processes and identify risks and controls. • Experience recommending actions to resolve gaps or mitigate risk. • reputed company Office (reputed company, reputed company, PowerPoint) and other software proficiency. • Strong written and verbal communication; ability to engage and influence business partners. • Ability to manage multiple tasks with interruptions and changing priorities. • Quick understanding of reputed company subject reputed company; strong critical thinking in a dynamic environment. Employment type • Contract Job function • Finance Seniority level • Mid-Senior level Benefits: Medical insurance, reputed company insurance, Disability insurance #J-18808-Ljbffr Apply tot his job Apply To this Job