CAT / CAIS Reporting Analyst Remote Flexibility for Qualified Candidates

Regulatory Operations Analyst (CAT / CAIS Reporting Analyst)

We are seeking a detail-oriented professional with hands-on experience in regulatory reporting, specifically with CAT and CAIS, to support our compliance operations and ensure accurate trade and account data submissions. A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting. Typically, this position follows our hybrid-friendly schedule, so you get the best of both worlds flexibility and collaboration. In office days will be three per week averaging 12 days per month in one of the following corporate home office locations : Memphis, TN or Southfield, MI.

The Regulatory Operations Analyst plays a key role in supporting the firm's compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies. This position collaborates closely with management to identify and mitigate financial, reputational, and regulatory risks. The analyst also contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors, is essential to investigate and resolve observations and ensure the integrity of reporting practices.

Licenses / Certifications :

SIE required (prior to start), provided that an exemption or grandfathering cannot be applied.

Series 99 required, or ability to obtain within 120 days (as required by FINRA). Persons holding Series 6, 7, 17, 37 or 38 or those who hold principal-level registrations : Series 4, 9 / 10, 14, 16, 23, 24, 26, 27, 28, 51, and 53 would be qualified to register as an Operations Professional (Series 99) without passing the examination.

Responsibilities :

• Responsible for the production, validation and submission of non-financial regulatory reports (e.g., Consolidated Audit Trail (CAT) Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.)
• Collaborates with other business units (Brokerage Operations, Trading, Compliance, IT, and Legal)
• Assists and provides input in the interpretation of new / changing securities rules, regulations, policies or laws; updates processes for compliance to rules and regulations as well as departmental procedures
• Compiles operational information for internal and external auditors (e.g., FINRA, SEC) with limited oversight
• Plans and executes remediation efforts for any identified issues with minimal guidance / support from Supervisor / Manager; assists the Manager or Senior Analyst in formalizing milestones needed in order to implement corrective action plans for any identified issues
• Assists Manager or Senior Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the testing efforts of other analysts; communicate any issues to management that require immediate attention in a clear and concise manner; draft recommendations to mitigate risk
• Participates on projects
• Performs other duties and responsibilities as assigned

Knowledge of :

Skill in :

Ability to :