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Regulatory Reporting Specialist - Trading
Ameriprise Financial, Inc.
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Regulatory Reporting Specialist - Trading

Ameriprise Financial, Inc.

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Details
Posted:
January 14, 2021
Location:
Minneapolis, Minnesota
Salary:
Open
Type:
Full Time
Job Description

Under the direction of the regulatory leader, perform complex trade reporting in accordance with requirements for all security types. Research regulatory trade reporting requirements. Interpret regulatory and industry changes. Assess impact to staff, processes, policies and technologies. Effectively communicate to business units and peers appropriate actions.

Responsibilities

  • Research regulatory trade reporting requirements and work with regulatory leaders to confirm next steps. Perform complex trade reporting in accordance with regulatory and company requirements for all security types.
  • Interpret regulatory and industry changes. Assess impact to staff, processes, policies and technologies. Effectively communicate appropriate actions to business units and peers.
  • Create databases and spreadsheets, run reports, and perform data mining on an ad-hoc basis.
  • Partner with the regulatory team to research and resolve issues, troubleshoot, and provide seamless service.
  • Provide support to other team members and participate in various projects as needed.


Required Qualifications

  • Bachelor's Degree.
  • 1-3 years of relevant experience.
  • Strong understanding of the securities trading markets and regulatory requirements.
  • Ability to demonstrate thought leadership; ability to interpret and analyze regulatory changes and the impacts to the business.
  • Strong attention to detail, including demonstrated ability to meet accuracy standards in a high-volume situation.
  • Demonstrated ability to manage multiple priorities in a fast-paced, results-driven environment.
  • Ability to research and resolve problems.


Preferred Qualifications

  • Experience with various systems, including Thomson One, Beta, and Regulatory websites.
  • Experience with Microsoft Access and Excel.
  • FINRA Series 7 License.

Internal Number: 9785534
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