Join our Regulatory Reporting and Controls team and help safeguard the firm through accurate reporting, robust controls, and smart automation. You’ll partner across Operations, Technology, and Compliance, working under real regulatory deadlines to deliver high‑impact outcomes. Bring your Python and analytics skills to streamline processes, reduce risk, and improve quality in a dynamic environment.

As a Regulatory Reporting and Controls Analyst, you will execute the end‑to‑end regulatory reporting lifecycle—from data sourcing and validation through reconciliation, exception management, attestation, and remittance. You will build and maintain resilient automations and data pipelines, apply disciplined controls, and deliver clear, actionable reporting. You will collaborate closely with stakeholders across functions to improve processes, strengthen control effectiveness, and meet tight, regulatory‑driven deadlines.

Job responsibilities

• Execute the regulatory reporting lifecycle: source, validate, reconcile, triage exceptions, remediate, attest, and remit to stakeholders.
• Coordinate large‑scale report remittances under tight regulatory deadlines, ensuring completeness and timeliness.
• Build, maintain, and document Python‑based automations and data pipelines (e.g., pandas, SQL), with unit tests and monitoring for resiliency.
• Apply AI techniques (e.g., NLP/GenAI where appropriate) to classify breaks, streamline exception handling, and enhance data‑quality controls within governance standards.
• Analyze data to define KPIs, identify root causes, and drive continuous improvement across trade lifecycle processes.
• Partner with Operations, Technology, and Compliance to confirm process completeness, controls, and resiliency plans; support effective change management.
• Perform control activities and evidence testing; maintain auditable documentation for policies, procedures, and reports.
• Use analytics/visualization tools (e.g., Excel, Alteryx, Tableau, SAS) to deliver transparent reporting and insight.
• Identify, design, and deliver automation opportunities that reduce manual touchpoints and bespoke processes.
• Communicate clearly with business, control, and technical audiences; tailor messages to stakeholder needs.
• Maintain a strong risk and control mindset while operating in a fast‑paced, deadline‑driven environment.

Required qualifications, capabilities, and skills

• Minimum three years of experience in settlements, reconciliation, and regulatory reporting (e.g., FED, FINRA, SEC) with ownership of controls and deadlines.
• Hands‑on Python proficiency for data manipulation and automation (e.g., pandas), including experience with SQL data sources and APIs.
• Foundational understanding of AI/GenAI concepts and practical application to operations use cases (e.g., exception classification, document parsing, summarization, anomaly detection).
• High proficiency in Microsoft Excel; strong skills in Word and PowerPoint for analysis and reporting.
• Strong analytical and problem‑solving skills; able to synthesize complex issues and recommend risk‑aware solutions.
• Excellent written and verbal communication; produces concise, management‑ready materials.
• Client‑focused and control‑oriented with meticulous attention to detail.
• Demonstrated ability to learn new concepts and procedures quickly and apply them effectively.
• Proven ability to work independently and collaboratively in a fast‑paced environment.
• Strong time management; meets strict deadlines and handles competing priorities. High integrity with willingness to escalate risks and issues appropriately.

Preferred qualifications, capabilities, and skills

• Experience in securities operations and trade‑lifecycle processes across products and asset classes.
• Experience with data/automation and visualization tools (e.g., Alteryx, Tableau, SAS; Power BI a plus).
• Knowledge of data governance, lineage, and quality frameworks; experience designing and evidencing controls for audit and regulatory review.
• Advanced AI/ML exposure beyond foundational concepts.
• Familiarity with cloud data platforms and workflow orchestration tools.
• Experience delivering process improvements under regulatory change programs. Bachelor’s degree in Finance, Commerce, Operations, or a related field.