Vice President, Non-Financial Regulatory Reporting

1 month ago

Egypt LakeLeto, United States Larson Maddox Full time

A leading financial services firm is looking for you to join the team as it's next Vice President, Non-Financial Regulatory Reporting This is an exciting time to join the business and own the non-financial regulatory reporting program while being located in beautiful Tampa, FL. If you are looking to advance in your career and take on a brand new challenge, apply into the Vice President, Non-Financial Regulatory Reporting now

The Vice President, Non-Financial Regulatory Reporting will be responsible for:

  • Oversee the creation, validation, and submission of non-financial regulatory reports, such as the Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), and Large Options Position Report (LOPR).
  • Collaborate with management to identify and implement improvements in operational efficiency and productivity, aiming to reduce financial, reputational, and regulatory risks.
  • Support the development and coordination of operational procedures and written supervisory policies (WSPs), ensuring reports are complete and accurate before submission.
  • Strong knowledge of securities and commodities regulations, particularly in non-financial reporting areas like CAT, Reg NMS, Reg SHO, and LOPR.
  • Experience designing operational testing and tracking systems.
  • Proficient in Microsoft Office (Excel, Access, PowerPoint), SQL, JIRA, and other relevant software applications.

The Vice President, Non-Financial Regulatory Reporting should have the following qualifications:

  • Bachelor's Degree.
  • 5 - 10 years of relevant experience.
  • Knowledge of non-financial regulatory reporting rules and issues, such as OATS/CAT, LOPR, Short Interest Reporting, INSITE, TRACE, OTCRF/TRF, LTR/OCR, and Portfolio Margin/Margin Balance Reporting.
  • Willingness to obtain Series 7 and/or Series 99 certifications.
  • Solid understanding of financial markets, trading products, and market regulations.
  • Familiarity with fintech culture and experience working with developers and engineers.

This opportunity has the potential to move quickly, so don't hesitate to apply into this Vice President, Non-Financial Regulatory Reporting opportunity

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