US Regulatory Services Analyst

Responsible for following established guidelines to produce and/or validate for accuracy daily, weekly, or monthly regulatory reports including Electronic Blue Sheets (EBS), CAT (Consolidated Audit Trail), CAIS (Customer and Account Reporting), SEC 13 DG and H, and more (and any other reports as determined by manager). Investigate and resolve exceptions through critical thinking and data analysis while escalating more complex scenarios to supervisors or other experts. Support the development and implementation of controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified. Maintain a strong focus on streamlining processes by identifying and implementing automation opportunities. Document and revise procedures as assigned by manager. JOB SPECIFICATIONS AND QUALIFICATIONS - Basic Qualifications Bachelors Degree or Equivalent Required, preferably in Engineering or Business or a related subject. Understanding of financial products (Equi...Regulatory, Analyst, Service, Technology, Banking

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