Key Responsibilities:

• Front-to-back ownership of high-risk regulatory reports from source data to submission, including pre-submission validations and controls to promote completeness & accuracy
• The role focuses on but is not limited to SEC Rule 613 Consolidated Audit Trail (CAT), Large Option Position Reporting, Blue Sheet Reporting, and CFTC Part 20 Swaps Large Trader Reporting where recent regulatory scrutiny has revealed a need to enhance the firm’s processes and technologies
• Review exception reports for the different Regulatory reports managed by the team
• Prepare and analyze regulatory reports pursuant to SEC, FINRA, and CFTC rules & regulations.
• Perform gap analyses of existing reports and propose appropriate solutions
• Identify opportunities to implement systematic processes aimed at reducing the firm’s exposure to regulatory risk
• Support the firm’s migration to enhanced reporting platforms as a member of User Acceptance Testing (UAT) groups

Skills:

• Ideal soft skills: critical thinking, problem-solving, teamwork, & adaptability
• Organizational skills: prioritization, multi-tasking, attention to detail, project management
• Leadership skills: acts as an owner and acts with urgency
• Work-ethic: Self-motivated and able to meet goals without micromanagement
• Excellent written and oral communication skills and ability to facilitate discussions (including with senior management)
• MS office (Excel, Access, Visio, Word, and Power Point) is a plus.

Knowledge/Experience/Qualifications:

• Bachelor’s degree
• Fluent in English
• Experience dealing with annual audits and inquiries by the firm’s regulators (e.g., SEC, FINRA) is a plus.
• Experience in trade/transaction reporting (e.g., Blue Sheets, Large Option Position Reporting, Large Swap Trader Reporting) is a plus
• Experience in Commodity Swaps, Option, and Equity products is a plus

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Job Family Group:

Finance

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Job Family:

Regulatory Reporting

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Time Type:

Full time

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Most Relevant Skills

Business Acumen, Change Management, Communication, Data Analysis, Financial Acumen, Internal Controls, Issue Management, Problem Solving, Regulatory Reporting.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law.

 

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