The role focuses on but is not limited to SEC Rule 613 Consolidated Audit Trail (CAT), Large Option Position Reporting, Blue Sheet Reporting, and CFTC Part 20 Swaps Large Trader Reporting where recent regulatory scrutiny hasrevealeda need to enhance the firm’s processes and technologies
Help develop the firm’s CATsupportoperating model
Review exception reports for the different Regulatory reports managed by the team
Prepare andanalyzeregulatory reports pursuant to SEC, FINRA, and CFTC rules & regulations.
Perform gapanalysesof existing reports and propose appropriate solutions
Develop supervisory oversight controls for regulatory reporting
Identify opportunities to implement systematic processes aimed at reducing the firm’s exposure to regulatory risk
Support the firm’s migration to enhanced reporting platforms as a member of User Acceptance Testing (UAT) groups