CAT​/CAIS Reporting Analyst –Remote Flexibility Qualified

CAT/CAIS Reporting Analyst – Remote Flexibility for Qualified Candidates

We are seeking a detail-oriented professional with hands‑on experience in regulatory reporting, specifically with CAT and CAIS
, to support our compliance operations and ensure accurate trade and account data submissions.

Please note:

this role is not eligible for work visa sponsorship, either currently or in the future.

A fully remote option may be considered for candidates with demonstrated expertise in CAT and CAIS reporting. Typically, this position follows our hybrid‑friendly schedule (three in‑office days per week, averaging 12 days per month) in Memphis, TN or Southfield, MI.

The Regulatory Operations Analyst (CAT/CAIS Reporting Analyst) plays a key role in supporting the firm’s compliance with non‑financial regulatory reporting requirements. Leveraging advanced knowledge and experience, this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports, and ensuring adherence to applicable industry rules and firm policies.

This position collaborates closely with management, internal stakeholders (compliance teams, internal auditors), and other business units (Brokerage Operations, Trading, IT, Legal) to identify and mitigate financial, reputational, and regulatory risks. The analyst contributes to the interpretation and implementation of new or evolving regulatory requirements, offering insights and recommending process improvements.

• SIE required (prior to start). Exemptions or grandfathering do not apply.
• Series 99 required, or ability to obtain within 120 days (as required by FINRA). Individuals holding Series 6, 7, 17, 37, 38 or principal‑level registrations (Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, 51, 53) may register as an Operations Professional (Series 99) without passing the exam.

• Produce, validate, and submit non‑financial regulatory reports (e.g., CAT Electronic Blue Sheets (EBS), Large Options Position Report (LOPR), etc.).
• Collaborate with other business units and provide input on interpretation of new or changing securities rules, regulations, policies, or laws; update processes for compliance to rules and regulations as well as departmental procedures.
• Compile operational information for internal and external auditors (FINRA, SEC) with limited oversight.
• Plan and execute remediation efforts for identified issues with minimal guidance; assist the Manager or Senior Analyst in formalizing milestones needed to implement corrective action plans.
• Assist in the design, planning, and execution of testing strategies; under direct supervision may lead testing efforts of other analysts. Communicate issues to management in a clear, concise manner; draft recommendations to mitigate risk.
• Participate in projects and perform other duties and responsibilities as assigned.

• Non‑Financial Regulatory reporting requirements.
• Financial market impacts.
• Regulatory terminology, concepts, and guidance.
• Back Office brokerage operations processes and procedures.
• Trading life cycle (Orders, Executions, Allocations).
• FINRA, SEC, and Exchange trading rules, regulations, and laws.

• Creating procedures and business process workflow documentation.
• Evaluating processes/systems, identifying risks and controls, and recommending actions to resolve gaps.
• Proficiency with Microsoft Office (Excel, Access, PowerPoint) and other software applications.
• Strong written and verbal communication.
• Operating standard office equipment.

• Proactively engage, collaborate and influence business partners in adopting identified opportunities to create or enhance processes.
• Support efforts in the evaluation or implementation of existing or new processes.
• Interpret financial/brokerage rules, regulations, and security laws; ensure all industry rules and regulations are followed.
• Manage multiple tasks with potential interruptions and changing priorities.
• Quickly understand complex subject matters and demonstrate critical thinking in a constantly changing environment.

• High School (HS) – required.
• General Experience – 7 to 12 months.