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 3 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 :

Knowledge of :

Skill in :

Ability to :