AVP, Regulatory Operations

Role Summary

This position supports the integrity of transaction data submitted to U.S. market regulators for equity and options activity. The role is responsible for identifying reporting issues, coordinating data corrections, and supporting regulatory-driven change initiatives. The individual will work across trading, operations, technology, and compliance functions to ensure reporting accuracy and regulatory expectations are met.

• Review regulatory submission outputs for equity and options transactions, identifying errors, mismatches, and data quality issues.
• Research reporting discrepancies by tracing trade life cycles across order, execution, and post-trade systems.
• Coordinate remediation efforts with internal stakeholders to resolve reporting issues within required time frames.
• Conduct daily data validation and comparison routines across multiple regulatory datasets.
• Maintain documentation related to issue resolution, controls, and recurring trends.
• Support regulatory change initiatives by assisting with requirements interpretation, testing activities, and production validation.
• Participate in periodic governance, oversight, and control processes tied to transaction reporting.
• Assist with responses to regulatory data requests and examinations, including the preparation of detailed trade-level information.
• Escalate systemic or high-risk issues to management with clear impact assessment.

• Prior experience in a broker‑dealer environment supporting transaction reporting, trade operations, or market compliance.
• Working knowledge of equity and equity options products and how trades flow from execution through settlement.
• Comfort working with large datasets, exception queues, and operational controls.
• Strong written and verbal communication skills with the ability to explain issues to non‑technical stakeholders.
• Ability to manage multiple priorities in a deadline‑driven environment.

• Exposure to multiple regulatory reporting frameworks for equities or options.
• Familiarity with industry trade processing or reporting platforms.
• Experience supporting regulatory exams or information requests.
• Knowledge of additional asset classes is beneficial but not required.