Non Financial Regulatory Reporting Manager

Your Role:

This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on Non-Financial Regulatory Reporting. The team is 100% distributed and remote. The role will be reporting directly to the VP of Operations.

The team is 100% distributed and remote.

Things You Get to Do:

• Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
• Act as the Firm’s principal on Non-Financial Regulatory Reporting.  This includes CAT, CAIS, Equity Trade Reporting, LOPR, and short-interest reporting.  
• Draft technical specifications for the firm’s developers to comply with securities regulatory reporting obligations
• Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
• Serves as an escalation point to resolve broad and complex operational issues related to NFRR
• Manage the process to establish, maintain, review, test, and modify Operations policies
• Establish and maintain written procedures to ensure efficient controls are in place, and any rules changes have been incorporated.
• Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
• Effective running of forums with large stakeholder groups, for the identification, tracking, and remediation of data issues and control enhancements that impact the respective reports
• Perform other duties and responsibilities as assigned.

Who You Are (Must-Haves):

A successful candidate must have demonstrated in-the-weeds knowledge in one or more of the below-named systems including project management and day-to-day operation management:

• Consolidated Audit Trail Implementation (CAT): Desired skills include prior involvement on an implementation team regarding the order flow, BA work mapping firm functions to reporting scenarios and reporting UAT testing.  Also, strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired.
• Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
• Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system.
• Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and advise and implement regulatory rule changes.
• Global Markets Operations/Technology experience preferred
• Two years of trading experience
• Five years of brokerage experience
• Understanding of NFRR rules 
• Experience with regulatory programs
• FINRA Series 7 license
• FINRA Series 24 license (or ability to obtain in 6 months)
• Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
• Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement
• Experience with FINRA, Federal, and SEC regulations
• Ability to collaborate and work effectively in a remote team environment
• Must possess the ability to adapt to a changing business and regulatory environment
• Enjoys challenges and taking ownership of new responsibilities
• Self-starter takes initiative
• Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and Query database skills

Last updated on Aug 5, 2024