3+ years transactional regulatory reporting experience
Knowledge of finra cat cais orf trf trace rule 605/606
Experience with ntier exception management software
The role supports daily business activities within regulatory operations, focusing on exception management and correction report submissions to FINRA
Job Summary
The role supports daily business activities within regulatory operations, focusing on exception management and correction report submissions to FINRA.
Candidates must possess a strong understanding of equity and fixed income related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606, and TRACE.
The position offers a competitive benefits package including comprehensive health and wellness benefits, retirement plans, and paid vacation.
Matching Summary
The role supports daily business activities within regulatory operations, focusing on exception management and correction report submissions to FINRA.