Regulatory Reporting Operations Analyst - Phaxis LLC
New York, NY 10017
About the Job
Growing Broker Dealer is seeking a highly skilled Regulatory Reporting and Compliance Specialist to oversee and ensure compliance with regulatory reporting obligations, including CAT, CAIS, Dodd-Frank, CFTC LTR, and additional position and transaction reporting requirements. The ideal candidate will monitor daily reporting, manage data enrichment across operational platforms, and support system updates aligned with regulatory changes. This role requires a strong understanding of securities regulations and the ability to uphold operational integrity.
Key Responsibilities:
Key Responsibilities:
- Monitor daily regulatory reporting and resolve issues related to CAT, CAIS, Dodd-Frank, CFTC LTR, and other transactional requirements.
- Support and maintain general static data, as well as exchange and regulatory enrichment across operational platforms.
- Assist with system changes and upgrades in response to business, exchange, and
- Manage email correspondence efficiently, including personal and group inboxes.
- Comply with Client, SEC, CFTC, and other exchange/regulatory requirements.
- Adhere to the operational risk framework, ensuring compliance with regulatory or company-defined parameters.
- Subject Matter Expert (SME) in OTC Derivatives Regulatory Reporting requirements.
- Proven experience with CAT, CAIS, TRACE, and other transactional regulatory reporting.
- Strong knowledge of relevant securities laws, rules, and regulations (Client, SEC, OCC, CFTC, NFA, and other Self-Regulatory Organizations).
Source : Phaxis LLC