The Senior Regulatory Reporting Specialist role will be part of the Business Controls team within the Trading department. The Specialist will perform complex trade reporting in accordance with requirements for all security types, with a focus on fixed income, along with interpreting regulatory trade reporting requirements and industry changes. This role will also assess impacts to the trading team and create databases, spreadsheets, process reports, and work with business data analytics.
Key Responsibilities
Manage, prioritize, and perform complex trade reporting, including exception reporting and reconciliation for TRACE, MSRB, and CAT, in accordance with regulatory and company requirements for all security types (I.E. fixed income, equity, options).
Interpret regulatory and industry changes. Assess impact to staff, processes, policies and technologies. Influence leaders and decision makers to take appropriate action. Effectively communicate to business units and peers' appropriate direction.
Create and manage databases, spreadsheets, run exception reports, and perform data analytics. Participate in tasks, projects, and regulatory inquiries as assigned.
Partner with internal and external business partners to research and resolve issues, troubleshoot, and provide seamless service. Provide support to other team members as necessary.
Required QualificationsBachelor's Degree
3 years of relevant experience
Preferred QualificationsStrong understanding of the securities trading markets and regulatory requirements
Ability to demonstrate thought leadership; ability to interpret and analyze regulatory changes and the impacts to the business.
Strong attention to detail, including demonstrated ability to meet accuracy standards in a high-volume situation.
Demonstrated ability to manage multiple priorities in a fast-paced, results-driven environment. Ability to research and resolve problems.
Experience with various systems, including Trade Web, Thomson One, Beta, and Regulatory websites
FINRA Series 7 License
Microsoft Access, Excel, and Power BI
Fixed income trade reporting applications (i.e. TRACE, MSRB)
About Our CompanyWe’re a diversified financial services leader with more than $1 trillion in assets under management and administration as of 2022. Our team of 20,000 people in more than 20 countries, advise and manage assets and income of more than 2 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world.
Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, national origin, genetic information, age, sexual orientation, citizenship, gender identity, disability, veteran status, marital status, family status or any other basis prohibited by law.
Full-Time/Part-Time
Full time
Exempt/Non-Exempt
Exempt
Job Family Group
Business Support & Operations
Line of Business
CLEAR Clearing