AVP, Regulatory Operations, Fixed income

Overview

Serve as a primary point of support for fixed income transactional regulatory reporting obligations, with a focus on TRACE reporting requirements.

Monitor live reporting queues within Client reporting systems to identify rejects, late reports, and data inconsistencies.

Investigate reporting exceptions by partnering with front office, middle office, operations, and technology teams to remediate issues in a timely manner.

Perform daily reconciliations between internal trade records and regulatory submissions using exception management and surveillance tools.

Identify root causes of reporting errors and recommend process or control enhancements to mitigate regulatory and operational risk.

Execute and maintain appropriate governance and supervisory controls related to fixed income regulatory reporting.

Support the implementation of new or enhanced regulatory reporting requirements, including participation in requirement analysis, testing, and validation.

Assist Compliance in responding to regulatory inquiries from Client and the SEC related to fixed income trading activity.

Provide accurate, complete, and timely regulatory data in response to ad hoc and formal regulatory requests.

Collaborate cross-functionally with business, technology, and compliance partners to support new product initiatives and business growth.

• Serve as a primary point of support for fixed income transactional regulatory reporting obligations, with a focus on TRACE reporting requirements.
• Monitor live reporting queues within Client reporting systems to identify rejects, late reports, and data inconsistencies.
• Investigate reporting exceptions by partnering with front office, middle office, operations, and technology teams to remediate issues in a timely manner.
• Perform daily reconciliations between internal trade records and regulatory submissions using exception management and surveillance tools.
• Identify root causes of reporting errors and recommend process or control enhancements to mitigate regulatory and operational risk.
• Execute and maintain appropriate governance and supervisory controls related to fixed income regulatory reporting.
• Support the implementation of new or enhanced regulatory reporting requirements, including participation in requirement analysis, testing, and validation.
• Assist Compliance in responding to regulatory inquiries from Client and the SEC related to fixed income trading activity.
• Provide accurate, complete, and timely regulatory data in response to ad hoc and formal regulatory requests.
• Collaborate cross-functionally with business, technology, and compliance partners to support new product initiatives and business growth.

• Strong understanding of fixed income products, including corporate bonds, government securities, and other debt instruments.
• Hands-on experience with Client TRACE reporting, including exception management and correction submissions.
• Familiarity with fixed income trade life cycles and post-trade processing.
• Experience using regulatory reporting platforms or exception management tools (vendor or proprietary).
• Strong analytical and problem-solving skills with the ability to communicate issues clearly to stakeholders and management.
• Ability to work independently in a fast-paced regulatory environment while contributing effectively within a team.
• Experience supporting regulatory exams, inquiries, or audits is a plus.
• Exposure to additional regulatory regimes (e.g., short interest, CFTC, or other fixed income reporting) is a plus.