Regulatory Operations Associate

The individual will play a critical role within regulatory operations to support daily business activities. Primarily with exception management and correction report submissions to FINRA. The individual will be expected to monitor live reporting queues within the FINRA reporting facilities, research, and escalate exceptions to the front office and/or back office support functions. The individual will also support ongoing regulatory projects that have mandated compliance dates by FINRA. The individual will also play a role with certain supervisory functions that the team performs on a periodic basis.

Responsibilities:

• Ideal candidate will demonstrate a strong understanding of equity related transactional regulatory reporting obligations including CAT, CAIS, ORF, TRF, Rule 605/606.
• Primary responsibilities will be to monitor CAT and CAIS reporting for any rejects, linkage, or inconsistency errors, and to investigate and remediate as necessary.
• Perform daily reconciliations for CAT, CAIS, CAT vs 606, and equity reporting (ORF/TRF) through the firm’s exception management and monitoring software, nTier.
• Candidate should possess strong analytical skills, ability to identify key issues impacting regulatory reporting and effectively communicate issues to the team and management ensuring regulatory obligations are met.
• Execute appropriate governance and controls to mitigate regulatory and operational risks.
• Ability to work independently as well as be team player supporting a positive and collaborative work environment.
• Interface with the business, technology, and compliance on an ongoing basis for all equity product initiatives. Assessing and implementing reporting enhancements to support the businesses’ growth.
• Participate with the implementation of new transactional regulatory reporting requirements. Working closely with the project team to analyze requirements, create test scripts, and validate the results.
• Assist Compliance with completing inquiries from Market Regulation Department of FINRA and SEC.
• Provide complete, accurate and timely Blue Sheet data to satisfy EBS regulatory requests.

Qualifications:

• Common and Preferred Stocks
• Listed and OTC Options
• Experience with Broadridge related products (BPS, IMPACT, GLOSS).
• Experience with nTier software is a plus.
• Fixed Income and Derivative products are a plus.
• Experience with TRACE, Short Interest, and CFTC are a plus.

The typical base pay range for this role is between $90K - $137K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays. For more information on our Total Rewards package, please click the link below.

MUFG Benefits Summary