Regulatory Compliance Analyst

Cabrera Capital Markets

Location: Chicago, IL

Daily oversight of regulatory reporting obligations and timely remediation of reporting errors and exceptions

Advising and providing training to Trading and other personnel on reporting obligations, and liaising with trading platforms and reporting vendors involved in regulatory reporting

Analyze large sets of trading data to detect irregularities and patterns indicative of market abuse or insider trading.

Designing and implementing controls and procedures to ensure the accuracy, completeness, and timeliness of the firm’s regulatory reporting obligations

Monitoring and tracking industry developments, best practices, and rules changes as well as participating in industry working groups

Directing and overseeing the testing and validation of regulatory reporting obligations in response to business and regulatory driven changes

Compiling statistics, report cards, and other metrics on the firm’s regulatory reporting performance, and presenting to management and supervisors

Maintain comprehensive records of trade surveillance activities, investigations, and outcomes for audit and regulatory purposes

Assisting with regulatory exams and inquiries

All other duties as assigned