Regulatory Operations Analyst

About the Role

Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical Non-Financial Regulatory Reporting obligations. This role leverages expertise in regulatory operations to support compliance with SEC, FINRA, OCC, Federal Reserve, exchange, and other regulatory reporting requirements, while driving process improvements that strengthen risk controls and operational efficiency. This is a hybrid-friendly position requiring three days per week in the Southfield, MI or Memphis, TN office.

Key Responsibilities

• Produce, validate, reconcile, and submit Non-Financial Regulatory reports, including:
• Consolidated Audit Trail (CAT)
• Electronic Blue Sheets (EBS)
• Large Options Position Reports (LOPR)
• Short Interest Reporting
• Treasury International Capital (TIC)
• SEC Schedule 13F
• Other regulatory reporting obligations
• Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies.
• Partner with Operations, Trading, Compliance, Technology, Legal, and Risk Management teams to address reporting issues and improve data quality.
• Evaluate new and changing regulatory requirements and support implementation efforts.
• Participate in regulatory examinations, audits, and inquiries from FINRA, SEC, and other regulatory bodies.
• Conduct root-cause analysis and lead remediation efforts for identified reporting issues.
• Support risk assessments, testing initiatives, and control enhancements.
• Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies.
• Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

Requirements & Tech Stack

• Hands-on experience with Non-Financial Regulatory Reporting in a broker-dealer or financial services environment.
• Experience supporting regulatory reporting, compliance operations, or brokerage operations.
• Strong understanding of securities markets, trading activity, and the trade lifecycle, including:
• Orders
• Executions
• Allocations
• Settlements
• Securities operations and reporting impacts
• Knowledge of FINRA, SEC, and exchange regulatory requirements.
• Experience analyzing data, researching exceptions, and resolving reporting discrepancies.
• Ability to work independently while managing multiple priorities in a fast-paced regulatory environment.
• Experience supporting regulatory examinations and audits.
• Experience with one or more regulatory reporting obligations: Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), Short Interest Reporting or similar.
• Experience with process improvement, controls testing, or risk management initiatives.
• Familiarity with operational workflows within brokerage or clearing environments.

Technical Knowledge

• Artificial Intelligence (AI) and AI–assisted reconciliation and exception investigation
• Advanced Microsoft Excel (pivot tables, VLOOKUP, data validation and reconciliation)
• Reporting and workflow management systems
• User Acceptance Testing (UAT) support
• Regulatory risk management and controls

Core Skills

• Regulatory reporting validation and reconciliation
• Understanding and application of regulatory requirements
• Analytical problem-solving and critical thinking
• Root-cause analysis and issue remediation
• Process improvement and workflow design
• Regulatory interpretation and implementation
• Strong written and verbal communication
• Cross-functional partnership and stakeholder management

Qualifications

• Bachelor’s Degree (B.A.) in a related field (preferred)
• 2-years’ experience in financial services, brokerage operations, regulatory reporting, compliance, securities operations (preferred)
• Any equivalent combination of experience and education.

Licenses & Certifications

• Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered.
• Series 99 or ability to obtain within 120 days (as required by FINRA), required.
• Candidates holding qualifying securities registrations (including Series 6, 7, 17, 37, 38, and certain principal-level registrations) may satisfy this requirement without additional examination.