Ability to validate and submit non-financial regulatory reports
This role is responsible for monitoring client asset possession and preparing accurate regulatory reports for the Consolidated Audit Trail (CAT) and Electronic Blue Sheets
Job Summary
This role is responsible for monitoring client asset possession and preparing accurate regulatory reports for the Consolidated Audit Trail (CAT) and Electronic Blue Sheets.
The position requires close collaboration with Compliance, Trading, IT, and Legal teams to interpret evolving securities rules and mitigate financial risks.
Candidates must hold a Series 99 certification prior to start or qualify for an exemption based on existing principal-level registrations.
Matching Summary
This role is responsible for monitoring client asset possession and preparing accurate regulatory reports for the Consolidated Audit Trail (CAT) and Electronic Blue Sheets.
Skills & Requirements
Must-have
Hands-on experience with CAT and CAIS reporting
Knowledge of FINRA SEC and Exchange trading rules
Ability to validate and submit non-financial regulatory reports
Experience in back office brokerage operations processes
Strong skills in creating procedure documentation
Nice-to-have
Proactive engagement with business partners
Critical thinking in a changing environment
Collaboration across multiple internal departments