Trade Reporting Supervisor
The Trade Reporting Supervisor will manage a team and be responsible for all aspects of firm regulatory reporting as it relates to institutional and retail equity trading. The ideal candidate will already be familiar with current equity reporting rules and regulations (OATS, EBS). The candidate should also be familiar with or will be required to learn all necessary aspects of CAT (Consolidated Audit Trail) reporting, including providing support in firm testing of CAT as well as assisting with drafting any firm workflows/policies and procedures in regards to CAT. The candidate will also need to be familiar with the firm’s equity OMS (order management systems) as well as the equity trade execution life cycle at Janney.
Essential duties and responsibilities include:
- Work with the equity trading desk to investigate all outstanding trade reporting problems (errors, discrepancies, trade corrections, etc.).
- Monitor and assist in the timely resolution of all regulatory reporting discrepancies/errors internally and within the respective FINRA Gateway.
- Document and finalize all actions and workflows in relation to CAT testing and exception management.
- Develop and/or update all policies and procedures in regards to all aspects of equity trade reporting (OATS, EBS, and CAT).
REQUIRED SKILLS:
- Strong Project Management Skills
- Technically proficient in MS Office Suite
- Familiarity with Refinitiv/Thomson, Bloomberg and Flex Trading
- Strong written and verbal communication skills
- Ability to work in a fast paced environment and meet critical deadlines
- Motivated self-starter with a strong sense of responsibility in their work
- A strong team player who is cooperative and works well under pressure
- Strives for accuracy and attention to detail in all work
- Proven skill in managing multiple tasks and in establishing priorities.
- Ability to learn quickly and adapt to new changes and new challenges
REQUIRED EXPERIENCE:
- Bachelor’s degree or equivalent experience
- 3-5 years of financial services operations or compliance experience along with regulatory trade reporting experience and some management experience
- Working knowledge of applicable financial products, e.g. equities and options
- Series 7 preferred or ability to obtain within 6 months of hire