Regulatory Operations AssociateApply Now
- Requisition # 35384
- Job Type Day
- Location New York, NEW YORK
- Date Posted 02/22/2021
Your potential. Your opportunity.
- Monitor CAT and OATS reporting for any rejects or unmatched transactions via FINRA Gateway access.
- Manually report to CAT and OATS via FINRA Gateway in case of system failure.
- Execute Qualified Special Representative Agreement and AGU agreement
- Standardizing complex transactions to enable solidified downstream processing for appropriate reporting.
- Interface with Business, Technology, and Compliance to integrate Regulatory Reporting structures for all Equity products.
- Assess and implement new Regulatory Reporting requirements as well changes to existing requirements.
- Assist Compliance and Business in completing inquiries from Market Regulation Department of FINRA and SEC.
- Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests.
- Perform annual review of current Blue Sheet processes and procedures.
- Execute appropriate governance and control to mitigate regulatory and operational risks.
- Common and Preffered Stocks
- Listed and OTC Options
The Reg Ops role will be responsible for providing support for the Firm’s Transaction Regulatory Reporting. This person will be engaged with the Firms Regulatory obligations specifically with transaction reporting, including and not limited to CAT, OATS, 606, and Blue Sheet (EBS). The individual requires in-depth expertise of these types of regulatory reporting and their designated SRO’s. Additionally, this candidate is required to have knowledge of Equity trade flow from the time of executions to settlement.