Program/Project Manager- Regulatory Reporting
Program/Project Manager- Regulatory Reporting
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$ 119700 - 191100
1 Vacancy
Job Description
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
- Bachelors degree or equivalent experience in operations computer science or other quantitative discipline.
- 10 years of related experienceandlicense (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 trackrecord 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 structurecompliance and regulatory reporting.
Preferred qualifications skills and capabilities
- Experience with United States Broker-Dealerregulation exams and inquiries; equitiescompliance or trade reporting.
Required Experience:
IC
Employment Type
Full-Time
