The Senior Regulatory Reporting Specialist role will play an important part with regulatory trade reporting requirements and complex trade reporting in accordance with requirements for all security types. This role will also stay up-to-date on regulatory and industry changes and assess potential impacts to staff, processes, policies and technologies.
Interpret regulatory trade reporting requirements. Manage, prioritize, and perform complex trade reporting, including Consolidated Audit Trail (CAT), in accordance with regulatory and company requirements for all security types.
Interpret regulatory and industry changes. Assess impact to staff, processes, policies and technologies. Influence leaders and decision makers to take appropriate action. Effectively communicate to business units and peers appropriate direction.
Create databases and spreadsheets, run reports, and perform data mining on an ad-hoc basis. Participate in tasks, projects, and regulatory inquiries as assigned.
Partner with internal and external business partners to research and resolve issues, troubleshoot, and provide seamless service. Provide support to other team members as necessary.
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.
Experience with various systems, including ThomsonOne, Beta, and Regulatory websites preferred
FINRA Series 7 License
Microsoft Access and Excel
Consolidated Audit Trail Experience
About Our Company
At Ameriprise Financial, we're not just in the business of helping clients with their financial goals - we also help our advisors and employees reach their true potential by embracing an inclusive and collaborative culture. We celebrate the unique qualities and reward the contributions of our talented, passionate employees. If you're motivated and want to work for a strong, ethical company that cares about you and your community, take the next step with Ameriprise Financial.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.