Regulatory Reporting Specialist - FINRA CAT/CAIS
Mufgamericas
A leading financial services company in New York is seeking a Regulatory Operations Associate to support daily operations, ensure compliance with regulatory obligations, and collaborate with various teams. The role requires strong analytical skills and experience in equity-related reporting. Key responsibilities include monitoring compliance reports and investigating discrepancies. This role offers competitive compensation and a comprehensive benefits package. #J-18808-Ljbffr Mufgamericas
$85k - $110k
Operations Regulatory Reporting Analyst - VN2363 New York, NY Full-Time Operations Diversified... ...problem resolution associated to CAT (Consolidated Audit Trail), CAIS (Customer and Accounting... ...requirements under and not limited to FINRA, SEC and CFTC Adhere to the operational...SuggestedFull timeImmediate startFlexible hours- A multinational investment bank in New York is seeking a candidate for a role responsible for regulatory reporting and financial audits. You will prepare regulatory calculations, assist in report preparation, and engage with internal and external audits. The ideal candidate...Suggested
- ...260007WB Department Summary SG Americas Securities, LLC (SGAS): Broker‑Dealer Regulatory Reporting Group. This department is responsible for local regulatory reporting for SGAS (SEC, FINRA, CFTC, CME, FRBNY, etc). The team works closely with both FCM and securities side...SuggestedLocal area
- Coda Search│Staffing is looking for a Regulatory Reporting specialist to join a top-tier investment manager's Compliance team in Greenwich, CT. In this high-impact role, you'll be responsible for preparing and submitting regulatory reports across various jurisdictions,...Suggested
- Taurus Search is seeking a candidate for a role focused on liquidity regulatory reporting in New York. Responsibilities include creating business requirement documents, validating daily LCR and NSFR reports, and performing data analysis. Candidates must have a Bachelor...Suggested
- We are exclusively partnering with one of the world's most respected quantitative investment managers to find a Regulatory Reporting specialist to join their Compliance team in Greenwich, CT. This is a rare opportunity to step into a high-impact role at a firm that genuinely...
- The role supports a broker‑dealer regulatory reporting function, with responsibility for daily customer and PAB reserve calculations (Rule 15c3‑3) and review of daily Net Capital computations (Rule 15c3‑1). The position assists in the preparation, review, and analysis...
- A financial services recruitment firm in New York is seeking an experienced professional to oversee the end-to-end regulatory reporting workflow for investment management operations. The ideal candidate will prepare, review, and file various regulatory documents and coordinate...
- ...Associate/Senior Associate – Finance in the United States. The role involves managing day-to-day accounting, bookkeeping, and regulatory reporting under US GAAP. Candidates should have a professional accounting degree (preferably CA/CPA) and 3–5 years of relevant...
$70k - $110k
Regulatory Reporting Analyst Location: New York, NY Base pay range: $70,000.00/yr - $110,000.00/yr Our client is seeking a Regulatory Reporting... ...related to derivatives activity, including CFTC, SEC, and CAT reporting Ensure all regulatory submissions are accurate, complete...Full time- ...Roadshow Concepts is looking for a Police Reporting Coordinator to manage jurisdictional reporting requirements and ensure accurate documentation across events in the United States. This remote position demands strong organizational skills and a high level of attention...Remote work
$64.07k - $99.79k
...The Senior Compliance Reporting Specialist will be responsible for ensuring compliance with the Physician Payments Sunshine Act by accurately... ...HCP expenses for compliance with company policies and regulatory requirements. Identify and resolve any errors or discrepancies...Full timeWork experience placementImmediate startRemote work- ...and Surveillance Compliance Specialist supports the front office... ...accurate and timely Trade Reporting; including but not limited... ...for stakeholders Monthly FINRA report card review and research... ...TRACE reporting review Regulatory Reporting (CAT/CAIS, Bluesheets) Handle daily...Temporary workWork at officeLocal areaRemote workFlexible hours3 days per week
$95k - $115k
...Operations Control Group responsible for FED 2004 Primary Dealer Reporting and Operations related FOCUS Reporting. Overview This... ...Word, Excel and PowerPoint Experience in FED or other types of regulatory reporting a plus Strong communication skills, both written and...Work at officeRelocation package$85k - $140k
The Goldman Sachs Group in New York is seeking an SEC Reporting associate to play a vital role in financial reporting and compliance. This position involves preparing SEC filings and quarterly results, ensuring accuracy and adherence to U.S. GAAP regulations. Candidates...- A global banking institution is seeking a Regulatory Business Analyst specializing in Transactional Regulatory Reporting in New York. The role involves business analysis, gathering requirements from end-users, and supporting operational teams. Candidates should have a...Contract work
- Oversee the end-to-end reporting workflow for our investment management operations, ensuring timely and accurate submissions. Prepare, review, and file a broad range of regulatory documents — such as Form PF, ADV, CPO‑PQR, 13F, and AIFMD — across numerous regulatory authorities...
- ...A federal government contractor is seeking a Data Analyst to support operational reporting and stakeholder needs in a financial environment. This role involves developing reports, optimization of SQL queries, and engagement with business users to clarify requirements....For contractorsRemote work
- A leading financial services company in New York seeks a Compliance Monitoring Specialist to support governance, compliance tracking, and reporting activities. Ideal candidates should have a Bachelor's degree in Business, Finance, or Law, and must possess strong organizational...
$75k - $85k
...program with a focus on testing and monitoring. Key responsibilities include executing compliance testing plans, preparing reports, and supporting regulatory filings. Candidates should have a Bachelor’s degree and 1-2 years of relevant experience. The role offers a salary...- ...Revolut Ltd is seeking a Business Analyst (Functional Regulatory Reporting) based in the United States. The role involves extending Axiom solutions for regulatory compliance, translating business needs into requirements, and supporting global reporting teams. Candidates...Flexible hours
- A leading insurance organization in New York is seeking a Senior Regulatory Reporting Analyst to ensure accurate and timely reporting of data to insurance regulatory bodies. The successful candidate will have strong data analysis and Excel skills, along with experience...
- Arrayo is looking for a Regulatory Reporting Governance Business Analyst / SME to join its Financial Services consulting team in New York, NY. This position focuses on regulatory rule interpretation, governance, and documentation, involving close collaboration with regulatory...
$125k - $200k
...traditional to test hypotheses and develop creative solutions to some of the world’s most complex economic problems. The Reporting Analyst will own regulatory, investor, and internal reporting obligations for Two Sigma Investments, LP and its affiliates. This role ensures...Casual workWork at officeLocal areaHome officeFlexible hoursShift work- Overview We are looking for a regulatory reporting professional for our multinational banking client located in Downtown NYC, on a contract basis. This role will support U.S. FRY 15 regulatory reporting requirements for a foreign banking organization, including Federal...Contract work3 days per week
- TALENT SHIFT is seeking a regulatory reporting professional to support U.S. FRY 15 regulatory reporting requirements for a multinational banking client in Downtown NYC. This hybrid role allows working onsite 3 days a week and will last between 9-12 months. Candidates must...Contract workShift work3 days per week
$110k - $150k
A major financial institution in New York is seeking a regulatory reporting professional responsible for the timely submission of the FR2052a report. You will prepare detailed reports, perform variance analysis, and communicate with regulators. The ideal candidate will...$69k - $105k
KeyBank is seeking a Senior Analyst to support the preparation and analysis of the FR 2052a Liquidity Monitoring Report, emphasizing data accuracy and regulatory consistency. The ideal candidate will have a bachelor's degree in finance or a related field, strong...Remote jobWork at office- ...like Securities and Loans. A Bachelor's degree in Computer Science is required. Responsibilities include developing and reviewing report schedules, performing SQL queries, and ensuring report versioning is accurate. The position emphasizes collaboration and process testing...
$69k - $105k
...Analyst supports the preparation, analysis, and governance of the FR 2052a Liquidity Monitoring Report. This role is designed to flex across data-quality execution and regulatory interpretation, with specific emphasis determined by team needs. The analyst will act as both...Work at officeRemote workFlexible hours
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