Regulatory Operations Sr Analyst

**Job Overview and Responsibilities **• * **The Operations Regulatory Reporting group validates, monitors, & performs regulatory reporting. The AVP role is responsible for the preparation and submission of daily and weekly and Federal Reserve reports (FR2004). This role will also take part in routine monitoring of Operations related regulatory capital charges and customer reserve requirement pertains to net capital rule (15c3-1) and US customer protection rule (15c3-3), as well as other Regulatory filings, namely: Short Interest Reporting and Portfolio Margining.Key Responsibilities\- Assist in the preparation and submission of the US Broker Dealer (CGMI) Federal Reserve Bank Reporting that includes the following:- FR 2004A Weekly Report of Dealer Positions- FR 2004B Weekly Report of Cumulative Dealer Transactions- FR 2004C Weekly Report of Dealer Financing And Fails- FR 2004SI Weekly Report of Specific Issues- FR 2004SD Daily Report of Specific Issues\- Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for FED Reporting and interact with regulators as needed to provide information and responses.\- Participate in bank examinations and internal and external audits.Perform research on changes on new regulatory reporting requirements and accounting standards and its impact to the group’s reporting.\- Maintain communication with the Business, Compliance, IT, and the Control & Reconciliation Group to ensure that regulatory reporting requirements are properly addressed on all levels of system and procedural changes, including the introduction of new financial products and transactions.\- Develop and maintain effective partnerships with all stakeholders on regulatory related issues. Manage, escalate, track issues and ensure resolution of issues that poses operational / regulatory risk to the firm.\- Ensure capital and customer reserve exposure calculations are accurate and taking action to reduce open issues related to operational and financing categories of the weekly customer reserve (SEA Rule 15c3-3) and capital charges (SEA Rule 15c3-1). Potential areas of concerns are Aged Fails, Stock Record & Depository breaks, Suspense, Repo/Reverse Repo and Stock Borrow/Loan Deficits, etc.\- Analyze data for regulatory reporting obligations to US regulators, such as Short Interest and Portfolio Margining to FINRA.\- Develop junior members of the team to become the future leaders of the organization.• *Qualifications and Requirements **- ** **An undergraduate degree in business, finance, other related fields.- Strong analytical skills.- 4+ years of related experience in the banking industry.- Material experience with operational risk disciplines; processes, risks and controls and familiarity with financial product and services, as well as brokerage accounting.- Strong leadership, and project management skills and ability to manage many competing priorities.- Familiarity with SEC Rule15c3-1 & 15c3-3 is a plus.- Strong interpersonal skills and ability to communicate effectively in both oral and written form.- Technical skills in various Microsoft Office Tools (particularly Access, Excel, Visio, Project and PowerPoint).- Strong work ethic and highly motivated individual with outstanding record of professional achievement.• *Pay and Benefits **• * **$70,080.00 - $105,120.00