Global Banking & Markets- Dallas- Associate, Regulatory Reporting - Trade Level- 10219895
About The Position
Responsible for reviewing and conducting exception management on regulatory reports submitted to agencies, such as FINRA and the SEC, ensuring compliance with global regulatory requirements. Working with Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies. Analyzing large data sets to ensure accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines. Identify and address control gaps, automate manual processes, and enhance existing reporting systems to improve efficiency and reduce risk. Work closely with internal teams, including Engineering, Middle Office, Legal, and Compliance, to align reporting practices with business objectives while serving as a liaison with regulatory agencies. Conduct risk and compliance monitoring and prepare updates for senior management. Participate in projects related to regulatory requirements, collaborate with global teams to implement changes, and provide regular updates on progress. Working with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.
Requirements
- Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, Civil Engineering, or related field.
- Two (2) years of experience in the job offered or a related role.
- Two (2) years of experience with US-based regulatory obligations from FINRA, SEC, or FDIC.
- Two (2) years of experience with business Intelligence tools including Alteryx.
- Two (2) years of experience with SQL (Structured Query Language).
- Two (2) years of experience analyzing large datasets to ensure data accuracy and resolve discrepancies.
- Two (2) years of experience conducting risk and compliance monitoring.
- Two (2) years of experience with process automation to improve reporting efficiency and reduce operational risk.
- Two (2) years of experience working with market and financial instruments including equities, exchange traded derivatives, and OTC derivatives for regulatory reporting.
- Two (2) years of experience with project management tools including JIRA.
Responsibilities
- Reviewing and conducting exception management on regulatory reports submitted to agencies, such as FINRA and the SEC, ensuring compliance with global regulatory requirements.
- Developing BI solutions and defining strategies using Business Intelligence tools, including Alteryx and SQL.
- Analyzing large data sets to ensure accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines.
- Identifying and addressing control gaps, automating manual processes, and enhancing existing reporting systems to improve efficiency and reduce risk.
- Aligning reporting practices with business objectives by working closely with internal teams, including Engineering, Middle Office, Legal, and Compliance.
- Serving as a liaison with regulatory agencies.
- Conducting risk and compliance monitoring and preparing updates for senior management.
- Participating in projects related to regulatory requirements.
- Collaborating with global teams to implement changes and providing regular updates on progress.
- Working with internal and external counterparties, including stakeholders in the business, engineering, compliance and legal, counselors and clients.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
