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CAT/CAIS Reporting Analyst -Remote Flexibility for Qualified Candidates
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Job Description
- Req#: R-0006999
Employer Industry: Financial Services
Why consider this job opportunity:
- Fully remote work option available for qualified candidates
- Competitive salary with opportunities for bonuses
- Comprehensive benefits package, including health, dental, and retirement plans
- Strong emphasis on career advancement and professional growth
- Collaborative and supportive work environment that values diversity and inclusion
- Opportunity to work with a leading firm in regulatory compliance
What to Expect (Job Responsibilities):
- Produce, validate, and submit non-financial regulatory reports, including Consolidated Audit Trail (CAT) and Electronic Blue Sheets (EBS)
- Collaborate with various business units such as Brokerage Operations, Trading, Compliance, IT, and Legal
- Assist in interpreting and implementing new securities rules and regulations, ensuring compliance
- Compile operational information for internal and external audits with minimal oversight
- Plan and execute remediation efforts for identified issues and assist in testing strategies
What is Required (Qualifications):
- High School Diploma or equivalent
- Minimum of 7 to 12 months of general experience in a related field
- Required certifications: SIE and Series 99 (or ability to obtain within 120 days)
- Knowledge of non-financial regulatory reporting requirements and financial market impacts
- Proficiency in Microsoft Office applications, including Excel and Access
How to Stand Out (Preferred Qualifications):
- Experience with financial market regulations and trading lifecycle processes
- Strong written and verbal communication skills
- Ability to evaluate processes and identify risks and controls
#FinancialServices #RegulatoryCompliance #RemoteWork #CareerAdvancement #DiversityAndInclusion
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