Compliance Officer, Trade Reporting

Overview

• Manage daily submissions, validations, and error corrections for regulatory trade reporting.
• Ensure compliance with FINRA and SEC regulations in trade reporting processes.
• Collaborate with multiple departments to maintain reporting accuracy and resolve issues.
• Develop and enhance controls and procedures for regulatory reporting workflows.
• Support audits and regulatory inquiries related to trade reporting compliance.
• Stay informed on evolving regulatory requirements and implement necessary changes.
• Contribute to process improvements to streamline workflows and reduce error rates.
• Participate in system testing for enhancements and regulatory updates.

Key Responsibilities & Duties

• Monitor and validate daily trade reporting submissions to ensure regulatory compliance.
• Investigate and resolve reporting discrepancies across systems and platforms.
• Perform reconciliations between internal systems and regulatory reporting outputs.
• Collaborate with trading desks and compliance teams to address reporting gaps.
• Develop documentation for controls and procedures to support audit readiness.
• Respond to regulatory inquiries and support examinations related to reporting.
• Enhance reporting workflows to improve efficiency and accuracy.
• Support onboarding of new products and workflows into reporting processes.

Job Requirements

• Bachelor’s degree in Finance, Economics, or related field required.
• Minimum of 4 years of experience in trading operations or compliance.
• Strong understanding of equity and options trading workflows.
• Expertise in CAT reporting schema and data validation processes.
• Proficiency in Excel for data analysis and reconciliation tasks.
• Knowledge of FINRA/SEC reporting requirements preferred.
• Experience with broker-dealer trading systems is advantageous.
• Exposure to SQL or data querying tools is a plus.