Manager, Regulatory Reporting, CAT Operations

Fidelity•Boston, MA

3d•Onsite

About The Position

The Role We are looking for an Associate to join the Fidelity Capital Markets (FCM) Regulatory Reporting Operations Team responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for National Financial Services, Fidelity Brokerage Services and our Correspondents. You will act as an interface between trading desks, operations teams, compliance, systems development teams, and other business partners that have an impact on Regulatory Reporting. You will play a key role in ensuring reporting obligations have been met through thoughtful data analysis and deep understanding of regulations and our trading infrastructure. Responsible for daily reconciliation, investigation, and resolution of reporting related issues. Working with the team to determine best approach in balancing short-term fix and long-term solution Acting as subject matter expert to internal and external business partners on regulatory reporting requirements Perform analysis of rule changes as well as internal business changes in order to understand impact on our reporting and determine necessary action Supporting our counterparts on Technology through the creation of requirements, solutioning, testing and implementation/validation

Requirements

Series 7 required
Experience/interest in the trade and position reporting requirements of a broker/dealer including but not limited to SEC Rules 605 and 606
SEC Rule 613 Consolidated Audit Trail (CAT)
Ambitious curiosity, you have a desire to understand why and how complex trading systems work and how they integrate into our reporting
Knowledge/interest in equity market structure and electronic trading workflows (FIX messaging)
Comfort with technology, including: Excel and SQL (Snowflake + Oracle DBs)
Strong time management and prioritization skills.
Excellent verbal and written communication skills and the ability to present material to senior leaders as well as peers.
Team-player mentality, willing and able to shift priorities based on team needs.
Delivering on individual tasks while contributing to larger team goals and projects.

Responsibilities

Responsible for daily reconciliation, investigation, and resolution of reporting related issues.
Working with the team to determine best approach in balancing short-term fix and long-term solution
Acting as subject matter expert to internal and external business partners on regulatory reporting requirements
Perform analysis of rule changes as well as internal business changes in order to understand impact on our reporting and determine necessary action
Supporting our counterparts on Technology through the creation of requirements, solutioning, testing and implementation/validation