Consolidated Audit Trail Report Preparer

$110,000 - $150,000 yearly
  • The Resume Review - Recruiting Department
  • Charlotte, NC, USA
  • Nov 16, 2022
Full time Accounting Finance

Job Description

Job description
This role will serve as a Consolidated Audit Trail (CAT) Regulatory Reporting Professional responsible for executing key reporting activities and functions under Supervision of the CAT Principal. Collaboration with policy owners at the senior executive level to influence integration of data, records, automation, risks and related reporting measures. Job requires the Series 99 (Operations Professional) or other qualified license as outlined by FINRA, and performs one or more covered functions on behalf of a broker/dealer.
Manages a large team or multiple smaller teams across one or more sites, regions or product lines in a global markets operations support function. Functions managed typically have high monetary exposure, risk and client impact. Decisions have significant impact affecting multiple operations functions, product lines and client relationships. Serves as an escalation point to resolve broad and complex operational issues. Develops and implements procedures to enhance unit productivity and efficiency, and manage business change.
Responsible for budget expense management, reporting and forecasting for operations areas managed, as well as compensation decisioning, talent planning, and performance management at a senior level. Requires broad business knowledge, thorough knowledge of operations support management and expertise in functional product area(s) gained through increasingly more responsible management positions in operations.
This employee may also be responsible for managing initiatives of significant scope and scale. Employees at this level are often required to interact with senior management within Operations, the Front Office (GBAM), and other support units as well as managing relationships with key vendors. To be used for registered employees in Global Markets only.

Responsibilities include:
Indirectly manages a very large cross functional team across multiple lines of business, operations, technology and risk in support of the Equities, Options and OTC product areas.
Develops and implements new processes and procedures to improve operating efficiency, timeliness and workflow coordination.
Drive automation and execution of transaction, reporting, Key Risk and Performance Indicators, controls and metrics.
Ensure adherence to  internal polices and standards for regulatory compliance (BCBS 239, SOX, NIST, etc.)
Manages daily activities ensuring adherence to deadlines and quality standards and adherence to procedures and regulatory requirements.
Under the supervision of the CAT Principal (Report Owner) this role is responsible for:
Regulatory Interpretation, requirements and traceability on all changes to processes, data, organization and technology requirements.
Ensure completeness of all  regulatory, operational and reporting requirements while maintaining traceability of data and regulations for gap closure.
Preparation and submission of non-financial regulatory reports for to key US regulatory bodies like FINRA, SEC, etc.
Daily report preparation, issue, incident and error remediation and immediate escalation to the Supervisor  in research on regulatory agency
Regulatory inquiries and exams regarding filings and submissions.
Under the direction of the Data Steward Executive (DSE) this role is responsible for:
Design, Implementation and Execution of Data Quality Controls
Data Remediation the identification, tracking, and remediation of data issues and control enhancements that impact the respective reports.
Ensure adherence to Enterprise Data Management (EDM) standards and policies.
Required Skills:
Series 99 (Operations Professional) or other qualified license as outlined by FINRA, and has performed covered functions on behalf of a broker/dealer.
Experience with reporting on Consolidated Audit Trail (CAT), SEC 605, SEC 606, Electronic Blue Sheets (EBS) and/or similar transaction reporting.
Minimum 5+ years of Professional experience in financial industry.
Hands on knowledge of trading products, Equities and Options including understanding of Trade Lifecycle.
Excellent problem-solving skills, with the ability to constantly assess results and refine approaches, playbooks, and automations for speed and success.
Ability to work under tight deadline to meet regulatory reporting obligations and timely respond to inquiries.
Strategic thinker who takes a pragmatic execution approach, striving to maximize incremental value while achieving target state.
Financial product knowledge; operations experience; regulatory reporting experience and overall business acumen.
Excellent oral and written communication skills; ability to influence outcomes and decisions i.e. driver of change.
Self-starter, takes initiative, eager to learn and grow, receptive to constructive feedback.
Advance Excel, Word, PowerPoint and Executive Presentation skills.

Desired Skills:
Experience optimizing large data workloads performance.
Technical savvy with the ability to quickly understand different systems and processes
Data management and data quality background especially with industry standards with high speed transactions
Process migration and re-engineering experience to strategic framework