Associate, Regulatory Reporting - Trade Level (Fintech)

TL;DR

Associate, Regulatory Reporting (Finance): Conducting exception management and reviewing regulatory reports for agencies like FINRA and the SEC with an accent on data accuracy and compliance. Focus on developing BI solutions using SQL and Alteryx, automating manual processes, and managing data pipelines for financial instruments.

Location: Dallas, TX, United States (Onsite)

Company

A leading global investment banking, securities, and investment management firm.

What you will do

• Review and manage exceptions for regulatory reports submitted to agencies such as FINRA and the SEC.
• Develop BI solutions and strategies using Alteryx and SQL.
• Analyze large datasets to ensure accuracy and resolve discrepancies in reporting.
• Collaborate with Engineering, Middle Office, Legal, and Compliance teams to align reporting practices with business objectives.
• Automate manual processes and enhance reporting systems to improve efficiency and reduce operational risk.
• Conduct risk and compliance monitoring and prepare progress updates for senior management.

Requirements

• Bachelor’s degree in Finance, Economics, Business Analytics, Civil Engineering, or a related field.
• 2 years of experience in regulatory reporting or a related role.
• Experience with US-based regulatory obligations from FINRA, SEC, or FDIC.
• Proficiency in SQL and Alteryx for data analysis and BI solutions.
• Experience with financial instruments including equities, exchange-traded derivatives, and OTC derivatives.
• Experience using JIRA for project management.