AVP - Regulatory Operations; Equity
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-20
Listing for:
Phaxis
Full Time
position Listed on 2026-01-20
Job specializations:
-
Finance & Banking
Job Description & How to Apply Below
Location: New York
Responsibilities
- Monitor and reconcile equity regulatory reporting across CAT, CAIS, ORF, TRF, and SEC Rule 605/606.
- Investigate and resolve reporting rejects, linkage issues, and data discrepancies using nTier.
- Perform daily CAT, CAIS, CAT vs. 606, and ORF/TRF reconciliations.
- Identify and elevate reporting risks, trends, and control gaps to management.
- Maintain strong governance and controls to ensure regulatory compliance.
- Partner with Trading, Technology, and Compliance on equity reporting initiatives and enhancements.
- Support new regulatory reporting implementations and system upgrades.
- Respond to Client and SEC inquiries and provide accurate Electronic Blue Sheet (EBS) data.
- Experience with equity and options products, including common and preferred stocks and listed and OTC options.
- Working knowledge of CAT, CAIS, ORF, TRF, and Rule 605/606.
- Experience with Client platforms (BPS, IMPACT, GLOSS).
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