Alpaca
Non Financial Regulatory Reporting Associate
Job Summary
This role involves supporting the company's non-financial regulatory reporting functions, ensuring compliance with industry rules and regulations such as CAT, CAIS, and trade reporting. The candidate will analyze data, maintain procedural documentation, and collaborate with cross-functional teams including Operations, Engineering, and Compliance. It requires an understanding of regulatory systems and a strong attention to detail, with an emphasis on remote work. The position offers benefits like health coverage, stock options, and a home-office stipend, and is suitable for a proactive individual eager to develop expertise in financial regulatory processes.
Required Skills
Benefits
Job Description
Your Role:
This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on Non-Financial Regulatory Reporting. The team is 100% distributed and remote. The role will be reporting directly to the Director of Trading Operations and NFRR Manager.
Things You Get To Do:
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Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
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Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
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Keep procedural documents up to date to comply with securities regulatory reporting obligations
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Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
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Serves as an escalation point to resolve broad and complex operational issues related to NFRR
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Execute the processes to establish, maintain, review, test, and modify Operations practices.
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Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
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Big data analysis and assessment to discover trends and recommend improvements.
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Perform other duties and responsibilities as assigned.
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Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
-
Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
-
Keep procedural documents up to date to comply with securities regulatory reporting obligations
-
Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
-
Serves as an escalation point to resolve broad and complex operational issues related to NFRR
-
Execute the processes to establish, maintain, review, test, and modify Operations practices.
-
Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
-
Big data analysis and assessment to discover trends and recommend improvements.
-
Perform other duties and responsibilities as assigned
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A successful candidate must be willing to learn in-the-weeds knowledge on the below-named systems:
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Consolidated Audit Trail Implementation (CAT): BA work mapping firm functions to reporting scenarios and reporting UAT testing. Obtaining strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired.
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Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
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Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system.
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Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and implement regulatory rule changes.
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Trade Reporting and Compliance Engine (TRACE): Over-the-Counter bond market trades reporting system.
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Global Markets Operations/Technology experience preferred
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Understanding of NFRR rules
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Experience with regulatory programs
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Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
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Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement
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Ability to collaborate and work effectively in a remote team environment
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Must possess the ability to adapt to a changing business and regulatory environment
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Enjoys challenges and taking ownership of new responsibilities
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Self-starter takes initiative
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Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and MySQL database skills
How We Take Care of You:
- Competitive Salary & Stock Options
- Health Benefits
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
Alpaca
Alpaca's easy to use APIs allow developers and businesses to trade algorithms, build apps and embed investing into their services.
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