Job Title: Regulatory Reporting Analyst II
Business Unit: Trading & Operations
Reports To: Associate Director, Deliveries and Regulatory Reporting
The Regulatory Reporting Analyst will be a self-motivated person responsible for all aspects of futures Regulatory Reporting obligations for the firm’s futures and swaps. This will include the identification and correction of any Open Interest and Large Trader reporting discrepancies as well as assist with EMIR and MiFID CPR registration and reporting. In addition, the employee will be involved in the implementation and maintenance of policies and procedures required to remain in compliance with exchanges globally. The position requires a person that can adapt with the ever-changing requirements and technology involved in meeting our reporting obligations.
Duties & Responsibilities:
Responsibilities include but are not limited to:
- Reconciliation of raw reporting data out of the Firm’s system(s) and reported data
- Monitoring and correction of breaks and applying prompt remedial action
- Provide oversight and governance of company's Regulatory Reporting obligations
- Play a key role in ensuring the accuracy and completeness of MiFID CPR and EMIR registrations and transaction reports as well as with Swap Data Repositories.
- Will assist in UAT testing and projects related to Regulatory Reports including but not limited to Large Trader, GCM, MiFID CPR Transaction Reporting, EMIR, CTI, and other related reports for the firm globally to ensure the firm remains compliant and up to date with global regulations.
- Will provide support and expertise for any internal audits and remediation matter within the Regulatory Reporting scope
- Investigate and resolve any reporting errors
- Participate in Regulatory Reporting project work - developing new or amending existing reporting solutions
- Analyze and manage data that impacts reporting regimes
- Communicate issues to management
- Liaise with other departments, specifically compliance, IT, and back office
- Liaise with regulators, exchanges, and providers
- Maintenance of accurate and up to date reporting procedures
- Will assist in delivery related aspects, including last trading day monitoring, notifications, and other delivery related processing tasks.
- Assist team with delivery related aspects
- Bachelor's Degree
- 3-4 years of experience in financial reporting or regulatory reporting at a financial services firm.
- An understanding of the full execution/clearing process
- Keen analytic, organization and problem-solving skills which allow for solving complex problems and performing operational analysis with limited direct guidance
- Strong accuracy, consistency, and attention to detail.
- Project coordination and follow through to completion.
- Competent in using Microsoft Excel or data analysis tool
- Ability to work autonomously and as part of a team
- Good written and verbal communication skills
- Confident dealing with stakeholders at all levels
It is the policy of R.J. O’Brien & Associates, LLC to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, age, disability, marital status, citizenship, genetic information, or any other characteristic protected by law.