Regulatory Reporting Analyst

Regulatory Reporting Analyst

Join a high-impact Markets Operations function supporting regulatory reporting accuracy and control discipline in a fast-paced trading environment. Partner with Front Office, Middle Office, and internal counterparts to resolve exceptions, improve booking quality, and reduce operational risk. Build your career by driving remediation, reporting insights, and process improvements that strengthen regulatory outcomes.

As a Regulatory Reporting Analyst within Markets Operations, you review reporting exceptions against risk management systems and SEC regulatory reporting requirements to ensure accurate and timely submissions. You execute remediations within regulatory SLAs, investigate issues end-to-end, and deliver management reporting on trends and control performance. You collaborate across stakeholders to drive process efficiency, close control gaps, and support testing for system enhancements and new initiatives.

Job Responsibilities 

• Analyze reporting exceptions versus risk management systems and SEC regulatory requirements.
• Execute timely remediations and meet rewrite regulatory SLAs consistently.
• Review unissued or unexecuted documents and escalate accurately within timelines.
• Drive process efficiency by identifying incorrect booking practices and educating Middle Office on impacts.
• Build strong relationships with Front Office, Middle Office, and internal counterparts to resolve issues.
• Investigate issues thoroughly and close them in line with business standards.
• Prepare weekly MIS and monthly control packs for senior management.
• Interpret MIS to identify trends, spikes, and emerging risks; communicate insights clearly.
• Participate in testing for system enhancements, project implementations, and new business initiatives.
• Identify control gaps and propose improvements to efficiency, effectiveness, and reporting timeliness.
• Manage priorities dynamically in a high-pressure environment while maintaining control discipline.

Required Qualifications, Capabilities, and Skills

• Hold a bachelor’s degree or equivalent qualification.
• Demonstrate strong partnership abilities across business and operations stakeholders.
• Communicate clearly and confidently in written and verbal formats.
• Operate with high numeracy, strong keyboard skills, and strong computer literacy.
• Manage complex product coverage and shift priorities effectively in a fast-paced environment.
• Apply strong risk awareness to prevent financial losses from operational and control errors.
• Deliver timely issue investigation and remediation aligned to SLAs and business standards.

Preferred Qualifications, Capabilities, and Skills 

• Leverage knowledge of North America regulatory requirements and SEC reporting concepts.
• Apply Equity Derivatives product knowledge to interpret exceptions and booking behaviors.
• Utilize regulatory reporting experience to improve rewrite timeliness and control outcomes.
• Strengthen control packs and MI by enhancing trend analysis and risk indicators.
• Support change initiatives by contributing to UAT and project testing rigor.
• Educate stakeholders on control impacts to reduce repeat exceptions and booking errors.
• Improve processes by recommending automation and standardization opportunities.