обновлено 12 дней назад
Controllers Operations-Dallas-Associate-Regulatory Reporting - Portfolio Level (Fintech)
Вакансия из Hirify Global, списка международных tech-компанийДля мэтча и отклика нужен Plus
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Regulatory Reporting Associate (Financial Services): Monitoring and managing position reporting, beneficial ownership, regulatory disclosures, position limits, and reporting exceptions across complex financial instruments with an accent on regulatory compliance, risk controls, and data quality. Focus on investigating control breaks, supporting regulatory inquiries, enhancing reporting automation, and collaborating with Compliance, Legal, Business, and Engineering stakeholders.
Location: Dallas, TX, United States
Company
is a global financial services firm providing investment banking, securities, and investment management services.
What you will do
- Monitor beneficial ownership, position reporting, position limits, regulatory thresholds, and disclosure obligations.
- Review daily exceptions, investigate control breaks and reporting issues, and drive remediation across stakeholders.
- Analyze positions and exposures across equities, exchange-traded derivatives, OTC derivatives, convertible securities, and other financial instruments.
- Support regulatory inquiries, examinations, audits, and requests from FINRA, the SEC, CFTC, and exchanges.
- Design and enhance reporting controls focused on accuracy, completeness, timeliness, and risk management.
- Collaborate with Engineering on data quality, automation, reporting infrastructure, testing, and platform transformation initiatives.
Requirements
- Location: Dallas, TX, United States
- Bachelor's degree and at least 3 years of experience in financial services, regulatory reporting, compliance, risk management, audit, operations, or a related field.
- Strong analytical, problem-solving, communication, stakeholder management, and risk and control awareness skills.
- Advanced Excel skills; experience with SQL is preferred.
- Ability to work with large and complex datasets, manage competing priorities, and collaborate across functions.
Nice to have
- Experience with position reporting, beneficial ownership, position limits, regulatory thresholds, or escalation frameworks.
- Knowledge of SEC, FINRA, CFTC, and exchange-related regulatory requirements.
- Experience with complex financial products, regulatory inquiries, examinations, remediation, or transformation initiatives.
- Experience with SQL, Alteryx, Tableau, Power BI, or similar analytics tools.
- Understanding of project management, testing, and change management methodologies.
Culture & Benefits
- Professional training and development opportunities.
- Firmwide networks supporting professional and personal growth.
- Benefits, wellness, personal finance, and mindfulness programs.
- Commitment to diversity, inclusion, and reasonable accommodations during recruitment.
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