Found Description
Overview
US Regulatory Services ensures timely, accurate, and complete reporting to exchanges, self‑regulatory organizations, and the SEC. The role focuses on day‑to‑day operational execution within a planning framework, specifying direct or indirect supervision of junior staff, ownership of functional areas, and oversight of regulatory change initiatives, inquiries, and exams. The individual represents the department at a broader level and may test and document process enhancements for multiple reporting forms such as CAT, CAIS, Electronic BlueSheets, LOPR, Short Interest, SEC 13DGH, TRACE, and MSRB. Collaboration with business groups, Compliance, Legal, Finance, and Technology is integral to success.
Responsibilities
- Maintain full knowledge of day‑to‑day reporting activities and ensure procedures are followed for assigned reports (e.g., CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR).
- Serve as the final reviewer for assigned regulatory report...