Trade Reporting Analyst

📋 Description

• Perform daily/periodic Level 1 supervisory reviews of assigned exception reports (e.g., trade and
• Investigate flagged items to determine root cause, gather supporting evidence, and reach a
• Clear reviewed items from the queue and log the review, findings, and disposition in the Firm's
• Track issues through to resolution and confirm that corrective action was taken and evidenced
• Identify recurring exception patterns and recommend process, control, or system improvements to
• Maintain organized, accurate records to support compliance testing, internal audit, and regulatory

🎯 Requirements

• Minimum 3+ years of experience in a compliance, supervision, operations, or analytical role
• Direct exposure to FINRA trade reporting (CAT/CAIS/TRF/ORF/TRACE), SEC Rule 605 and 606 reporting
• Demonstrated background handling regulatory reporting across diverse asset classes, such as
• A track record of ownership and disciplined execution in high-stakes, deadline-driven environments
• The ability to prioritize effectively and know when to escalate versus resolve independently
• Strong written communication skills — able to document findings and escalations clearly and

🎁 Benefits

• Competitive compensation
• Equity
• 401(k) match
• Medical insurance
• Dental insurance
• Vision insurance