Our client, a top global investment bank, is looking to bring on an associate to join their regulatory operations team. You will primarily be responsible for supporting the firm's transaction regulatory reporting. You will engage the regulatory obligations of the firm specifically with reporting, including OATS, LOPR, 10b-10 confirm, and EBS.
- Monitor all OATS for any unmatched transactions through the FINRA gateway;
- In case of a system breakdown, manually enter OATS reports through FINRA gateway;
- Assist traders and compliance teams with any ACT/ORF issues;
- Implement and assess all new regulatory reporting requirements as well as any changes to existing regulatory requirements;
- Assist with completing any inquiries from the market regulation department of FINRA and the SEC;
- Annually review the state of current Blue Sheet procedures;
- Mitigate and control any regulatory and operational risks.
If this role sounds like the next step on your regulatory or operations career path, respond to this posting or reach out to James Dappert at 646-766-1242.