Regulatory Operations Analyst

A company is looking for a Regulatory Operations Analyst (Non-Financial Regulatory Reporting).

Key Responsibilities

Produce, validate, and submit non-financial regulatory reports

Collaborate with various business units to ensure compliance with regulations

Assist in interpreting new or changing securities rules and update compliance processes

Required Qualifications

Experience in Trading or Compliance

Knowledge of non-financial regulatory reporting requirements

Familiarity with FINRA, SEC, and Exchange trading rules

Understanding of back office brokerage operations processes

Ability to compile operational information for audits with limited oversight