What are the responsibilities and job description for the Regulatory Reporting Data Analyst position at Yoh - A Day & Zimmerman Company?
Job Details
Regulatory Reporting Data Analyst
Position Overview: We are seeking a temporary Regulatory Reporting Data Analyst to prepare, review, and monitor regulatory reports and related processes. This role partners with regulatory reporting teammates and collaborates with operations, trading, and service departments to ensure accurate and timely reporting.
Key Responsibilities:
Prepare, review, and monitor daily regulatory reports to ensure compliance with internal and external guidelines.
Process all regulatory reporting tasks with accuracy and timeliness.
Research, investigate, and resolve reporting anomalies, escalating issues as needed.
Track and coordinate the remediation of exceptions to ensure accurate and timely reporting.
Reporting Areas Include:
Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting to FINRA
Short Interest and Electronic Blue Sheets (EBS) filings to FINRA
Monitoring Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF)
Requirements:
3-5 years of broker-dealer operations experience across multiple departments, or similar experience.
Intermediate proficiency in MS Excel (vlookup, countifs, pivot tables)
Basic knowledge of Microsoft Word, PowerPoint, and SQL Server Management Studio
Ability to work under pressure, prioritize, and multi-task in a deadline-driven environment
Core Competencies:
Strong analytical, written, and verbal communication skills
Detail-oriented and able to work independently
Ability to extract, validate, and generate reports from data
Preferred:
Experience with SQL and strong data analysis skills
Background in finance and/or accounting
Ideal Candidate: demonstrates strong data analysis skills, is proficient in Excel and other data management tools, and thrives in a collaborative, positive team environment. They are committed to delivering high-quality results and enjoy working with others to achieve shared goals.
Estimated Min Rate: $21.00
Estimated Max Rate: $26.00
What s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh s extensive talent community that will provide you with access to Yoh s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:
Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.
Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.
For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
By applying and submitting your resume, you authorize Yoh to review and reformat your resume to meet Yoh s hiring clients preferences. To learn more about Yoh s privacy practices, please see our Candidate Privacy Notice: https://www.yoh.com/privacy-notice
Position Overview: We are seeking a temporary Regulatory Reporting Data Analyst to prepare, review, and monitor regulatory reports and related processes. This role partners with regulatory reporting teammates and collaborates with operations, trading, and service departments to ensure accurate and timely reporting.
Key Responsibilities:
Prepare, review, and monitor daily regulatory reports to ensure compliance with internal and external guidelines.
Process all regulatory reporting tasks with accuracy and timeliness.
Research, investigate, and resolve reporting anomalies, escalating issues as needed.
Track and coordinate the remediation of exceptions to ensure accurate and timely reporting.
Reporting Areas Include:
Consolidated Audit Trail (CAT) and Customer Account Information System (CAIS) reporting to FINRA
Short Interest and Electronic Blue Sheets (EBS) filings to FINRA
Monitoring Trade Reporting Facility (TRF) and Over-the-Counter Reporting Facility (ORF)
Requirements:
3-5 years of broker-dealer operations experience across multiple departments, or similar experience.
Intermediate proficiency in MS Excel (vlookup, countifs, pivot tables)
Basic knowledge of Microsoft Word, PowerPoint, and SQL Server Management Studio
Ability to work under pressure, prioritize, and multi-task in a deadline-driven environment
Core Competencies:
Strong analytical, written, and verbal communication skills
Detail-oriented and able to work independently
Ability to extract, validate, and generate reports from data
Preferred:
Experience with SQL and strong data analysis skills
Background in finance and/or accounting
Ideal Candidate: demonstrates strong data analysis skills, is proficient in Excel and other data management tools, and thrives in a collaborative, positive team environment. They are committed to delivering high-quality results and enjoy working with others to achieve shared goals.
Estimated Min Rate: $21.00
Estimated Max Rate: $26.00
What s In It for You?
We welcome you to be a part of the largest and legendary global staffing companies to meet your career aspirations. Yoh s network of client companies has been employing professionals like you for over 65 years in the U.S., UK and Canada. Join Yoh s extensive talent community that will provide you with access to Yoh s vast network of opportunities and gain access to this exclusive opportunity available to you. Benefit eligibility is in accordance with applicable laws and client requirements. Benefits include:
- Medical, Prescription, Dental & Vision Benefits (for employees working 20 hours per week)
- Health Savings Account (HSA) (for employees working 20 hours per week)
- Life & Disability Insurance (for employees working 20 hours per week)
- MetLife Voluntary Benefits
- Employee Assistance Program (EAP)
- 401K Retirement Savings Plan
- Direct Deposit & weekly epayroll
- Referral Bonus Programs
- Certification and training opportunities
Note: Any pay ranges displayed are estimations. Actual pay is determined by an applicant's experience, technical expertise, and other qualifications as listed in the job description. All qualified applicants are welcome to apply.
Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Visit https://www.yoh.com/applicants-with-disabilities to contact us if you are an individual with a disability and require accommodation in the application process.
For California applicants, qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. All of the material job duties described in this posting are job duties for which a criminal history may have a direct, adverse, and negative relationship potentially resulting in the withdrawal of a conditional offer of employment.
It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.
By applying and submitting your resume, you authorize Yoh to review and reformat your resume to meet Yoh s hiring clients preferences. To learn more about Yoh s privacy practices, please see our Candidate Privacy Notice: https://www.yoh.com/privacy-notice
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
Salary : $21 - $26