Senior Regulatory Reporting Operations Analyst

6 hours ago

Boston, Massachusetts, United States Fidelity TalentSource LLC Full time
Job Title: Senior Regulatory Reporting Operations Analyst

Are you passionate about ensuring the accuracy of financial reporting and compliance with regulatory requirements? Do you have a strong analytical mindset and excellent communication skills? We are seeking a Senior Regulatory Reporting Operations Analyst to join our team at Fidelity Capital Markets.

The Role

As a Senior Regulatory Reporting Operations Analyst, you will play a critical role in ensuring the integrity of trade and position reporting submitted to regulatory agencies. You will work closely with trading desks, operations teams, compliance, and systems development teams to identify and resolve issues related to reporting obligations. Your expertise will be essential in maintaining positive relationships with internal and external partners to gain knowledge of new rules or interpretations and implement them internally to ensure compliance.

The Expertise and Skills You Bring
  • Experience with trade and position reporting requirements of a broker/dealer, including MSRB, TRACE, LOPR, Electronic Blue Sheets (EBS), and ACT.
  • Strong knowledge of broker/dealer Customer and Account Information systems.
  • Ability to identify issues through complex analysis and develop solutions to drive to resolution.
  • Working knowledge of SQL and Oracle databases.
  • Understanding of complex order routing flows and their impact on downstream systems.
  • Understanding of various regulatory requirements of a broker dealer as it relates to trade and position reporting.
  • Series 7 and 52 required within 9 months of hire.
  • Excellent verbal and written communication skills and the ability to present material to senior leaders and peers.
  • Microsoft Office applications, particularly Excel and PowerPoint.
  • Strong time management and prioritization skills.
The Team

You will be part of a dynamic team that plays an integral role in ensuring that all trading activity has been accurately reported to regulatory agencies. Our team's directive is to analyze and identify issues or discrepancies in our reporting programs and work closely with the Operations and Technology teams to deliver a solution to address these. Issues with reporting can lead to inquiries, disciplinary action, or fines.

Certifications

Series 07 - FINRA, Series 52 - FINRA

Company Overview

Fidelity Investments is a privately held company with a mission to strengthen the financial well-being of our clients. We help people invest and plan for their future. We assist companies and non-profit organizations in delivering benefits to their employees. And we provide institutions and independent advisors with investment and technology solutions to help invest their own clients' money.

At Fidelity, you'll find endless opportunities to build a meaningful career that positively impacts people's lives, including yours. You can take advantage of flexible benefits that support you through every stage of your career, empowering you to thrive at work and at home. Honored with a Glassdoor Employees Choice Award, we have been recognized by our employees as a top 10 Best Place to Work in 2024. And you don't need a finance background to succeed at Fidelity—we offer a range of opportunities for learning so you can build the career you've always imagined.

Fidelity's hybrid working model blends the best of both onsite and offsite work experiences. Working onsite is important for our business strategy and our culture. We also value the benefits that working offsite offers associates. Most hybrid roles require associates to work onsite all business days of every other week in a Fidelity office.

At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation, detailed in this document, and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations, and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.

We invite you to Find Your Career at Fidelity.

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