Business Analyst / Project Manager with CFTC & SEC & CAT/ NYC, NY (Onsite) -6+ Months Contract

Business Analyst / Project Manager With Ctfc & Sec & Cat

Onsite role in NYC NY Mandatory Skills:

CFTC (Commodity Futures Trading Commission): Yrs SEC (Securities & Exchange Commission): Yrs Canada and CAT (Consolidated Audit Trail) Regulatory Reporting: Yrs

First & Second Round: Capco Team Third Round: Client

Purpose of Role:

To support and maintain operational systems and static data associated to regulatory reporting processes/controls, and support, maintain and develop all financial and/or regulatory reporting solutions/controls to meet the firm's exchange and regulatory requirements across multiple asset classes including Futures, Options, Swaps, Equities and Fixed Income.

Responsibilities:

• Daily monitoring and problem resolution associated to CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting) (for Futures and Part 20) and other Position and Transactional reporting
• Support/maintain general static data, Exchange and Regulatory enrichment information across platforms utilised by Operations.
• Assist with system changes and upgrades in line with business, exchange & regulatory requirements.
• Ensure written procedures are in place and up to date for daily/monthly departmental tasks
• Efficient email management, including both personal & group mailboxes
• Ensuring compliance with the company's exchange/regulatory requirements under and not limited to Client, SEC and CFTC
• Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
• Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
• At all times complying with client Code of Conduct
• To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
• To report any breaches of policy to Compliance and/ or your supervisor as required
• To escalate risk events immediately
• To provide input to risk management processes, as required.

The Company may require you to carry out other duties from time to time.

Competencies, Skills, and Experience:

Competencies:

• Excellent verbal and written communication skills
• A collaborative team player, approachable, self-efficient and influences a positive work environment
• Demonstrates curiosity
• Resilient in a challenging, fast-paced environment
• Ability to take a high level of responsibility in a fast pace and high-volume environment
• Excels at building relationships, networking and influencing others
• Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

Skills and Experience:

• SME in OTC Derivatives Regulatory Reporting requirements
• Experience of CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting), Trace and other transactional Regulatory Reporting requirements essential
• Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, Client, SEC, OCC, CFTC, NFA and other Self Regulatory Organizations.
• Previous exposure/Knowledge of Dodd Frank
• Ability to work effectively under pressure in a busy environment
• Good communication skills within team & other business areas
• Punctual & enthusiastic
• Flexible & accustomed to constant changing responsibilities
• Following a strict & disciplined regime, offering assistance to all employees
• Demonstrates enhanced understanding of Futures & Options industry in areas including; Reconciliations, Position Maintenance, Regulatory Reporting and static data
• Problem solving skills; ability to resolve issues in a timely & efficient manner
• MS Office experience
• Able to work on own initiative & be part of a team
• Attention to detail
• Ability to develop and enhance systems and processes to improve efficiency
• Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.