Non-Financial Regulatory Reporting Manager - Remote

Overview

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 Director of Trading Operations and NFRR Manager.

In Short

• 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 supporting Associate on Non-Financial Regulatory Reporting including CAT, CAIS, Equity Trade Reporting, LOPR, Fixed-Income and short-interest reporting.
• Keep procedural documents up to date 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.
• Execute the processes to establish, maintain, review, test, and modify Operations practices.
• Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance.
• Big data analysis and assessment to discover trends and recommend improvements.
• Perform other duties and responsibilities as assigned.

Requirements

• A successful candidate must be willing to learn in-the-weeds knowledge on systems like Consolidated Audit Trail Implementation (CAT), Large Options Position Reporting (LOPR), Short Interest Reporting, Over the Counter Reporting Facility (OTCRF), and Trade Reporting and Compliance Engine (TRACE).
• Global Markets Operations/Technology experience preferred.
• Understanding of NFRR rules.
• Experience with regulatory programs.
• 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.
• 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, Microsoft Office, and MySQL database skills.

Benefits

• Competitive Salary & Stock Options.
• Health benefits start on day 1 including Medical, Dental, Vision.
• New Hire Home-Office Setup: One-time USD $500.
• Monthly Stipend: USD $150 per month via a Brex Card.
• Work with awesome hard working people, super smart and cool clients and innovative partners from around the world.