Trade Reporting Specialist

Support regulatory reporting of equity and option transactions for Wealth Management.,Manage the firm's Consolidated Audit Trail (CAT) reporting needs, structure, and governance.,Understand trade flows, order events, and customer account reporting.,Be responsible for tactical vetting and solutions of trade reporting, ensuring accuracy and compliance.,Verify accuracy of CAT requirements and mapping, and implement process modifications.,Confirm documentation, policy & procedures are in place for all business processes relating to CAT.,Provide ongoing risk management and drive future CAT deliverables.,Manage open project deficiencies and deliverables.,Work with business lines to assess new trade flows for accurate reporting.,Maintain a holistic focus on documentation and process logic review.,Review, design, and implement new processes/process changes and procedures to increase efficiency, reduce risk, or enrich service.,Perform ongoing production support and maintenance updates for established end-user efficiency solutions.,Assign responsibility and provide ongoing oversight to business and technical areas as necessary.,Assist in pulling data for regulatory inquiries.,Participate in business requirement development, UAT testing, end-user training, and implementation support for enhancements and new firm initiatives.,Develop and provide ongoing training support for end-user resources.,Provide feedback to department leadership team when appropriate.

4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 3+ years of securities, banking, technology and/or job specific industry experience,1+ year prior securities, banking, technology industry and/or job specific related industry,Securities license 99 (or able to obtain license within 120 days),Experience with brokerage systems,Process knowledge including risk assessment and quantification methodologies,Proven experience creating and implementing reporting and processes,Sound organizational knowledge with operational mindset; including products, processes, systems and regulatory and/or client needs

Bachelor's Degree or High School Diploma/Equivalent