Job Description
Overview
US Regulatory Services is responsible for ensuring timely, accurate, and complete reporting to various exchanges, self‑regulatory organizations and the SEC. The individual in this role is primarily responsible for day‑to‑day operational execution and broader planning within the area of expertise. Responsibilities may include supervising junior employees, remediating identified issues, managing control and risk processes, supporting regulatory change initiatives, researching and responding to regulatory inquiries and exams, and performing user testing for process enhancements. The role may focus on multiple forms of regulatory reporting such as CAT, CAIS, Electronic Blue Sheets, LOPR, Short Interest, SEC 13DGH, TRACE, MSRB, and more, while collaborating with business groups, Compliance, Legal, Finance, and Technology.
Responsibilities
- Be fully knowledgeable on day‑to‑day reporting activities and ensure procedures are followed for assigned...