Entry Level Finance Analyst (interest in Regulatory)

Job Description

As part of the Equities Americas Regulatory Risk Management team, you will be responsible for supervisory review, control and oversight of the various US SRO regulatory reporting requirements. This is an excellent opportunity to gain a comprehensive understanding of and a detailed insight into all areas across the firm s IB Equities Americas. The role will enable you to develop relationships with key members of our product teams, as well as working with the respective control functions in remediating front-to-back issues

Responsibilities:

1. Manage the day to day process for U.S. Trade Reporting obligations such as OATS, TRF (i.e. ACT), EBS, 605/606, TRACE, LOPR, CAT, ATS and Dodd Frank

2. Involvement in other regulatory reporting requirements related to TRACE, Equity Derivatives, CAT, ATS reporting, 605/606, Dodd Frank reporting

3. Responsible to ensure complete, accurate and timely reporting to regulators such as FINRA and the SEC

4. Work closely with various internal control functions (Compliance, Legal, Operations and Internal Audit) to ensure the Firm's Regulatory Reporting requirements are met

5. Work closely with the Business, Technology and Operations to assess risks related to booking flows

6. In partnership with Technology manage a program to ensure technology changes and upgrades that impact regulatory reporting requirements are done in a manner that does not negatively impact such reporting requirements.

7. Work with Compliance on responding to regulatory inquiries and on regulatory examinations

8. Work to continuously improve the Firm's existing regulatory framework by improving processes and creating a durable control environment

Minimum Requirements:

· Ideal candidate would have a strong propensity for delivering on tight deadlines and be proactive/self-starter

· Minimum 1 year experience in an operations, supervisory or compliance role (or similar with and industry SRO) related to Equities trading

· Understanding of OATS reporting obligations and the complexities associated with booking flows of a large institutional broker dealer.

· Ability to work independently, make decisions and prioritize work appropriately

· Strong organizational and multitasking skills

· Strong MS PowerPoint, Word, Excel skills

· Attention to detail, quality and accuracy

· Strong analytical skills

· Strong verbal and written communication skills

· Desire to work collaboratively to meet team objectives