Regulatory Operations Analyst

Chartwell Investment Partners

Southfield, MI, US
Hybrid (3 days in-office per week)
Cat and cais regulatory reporting
Non-financial regulatory reporting
Trade and account data submissions
Chartwell Investment Partners is seeking a detail-oriented Regulatory Operations Analyst to support compliance operations, focusing on regulatory reporting for financial markets. The role involves validating trade data, collaborating with various internal teams, and ensuring adherence to industry regulations

Job Summary

  • This position supports the firm’s compliance with non-financial regulatory reporting requirements, focusing on accurate trade and account data submissions.
  • Responsibilities include producing, validating, and submitting reports like CAT, EBS, and LOPR, while collaborating with various business units.
  • The role requires interpreting new/changing securities rules, assisting auditors, and planning remediation efforts for identified issues.

Matching Summary

Match Score: 85

Chartwell Investment Partners is seeking a detail-oriented Regulatory Operations Analyst to support compliance operations, focusing on regulatory reporting for financial markets. The role involves validating trade data, collaborating with various internal teams, and ensuring adherence to industry regulations.

Skills & Requirements

Must-have

  • CAT and CAIS regulatory reporting
  • Non-financial regulatory reporting
  • Trade and account data submissions
  • Monitoring client asset possession
  • Interpreting new regulatory requirements

Nice-to-have

  • Proactive collaboration and influence
  • Process improvement identification
  • Critical thinking in dynamic environments

Key Requirements

  • SIE required (prior to start)
  • Series 99 required (prior to start)
  • 7 to 12 months general experience

Work Rights

Not specified

Tailored Resume

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