18 Senior Regulatory Reporting Specialist, Trading Jobs in Charlotte, NC
Ameriprise Financial is Hiring a Senior Regulatory Reporting Specialist, Trading Near Charlotte, NC
Job Details
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.
- Bachelor's Degree
- 3 years of relevant experience
- Strong 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)
We'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
Job Summary
Full Time
$111k-158k (estimate)
07/13/2024
09/12/2024
ameriprise.com
MINNEAPOLIS, MN
7,500 - 15,000
1987
JAMES M CRACCHIOLO
$10B - $50B
Related Companies
About Ameriprise Financial
Ameriprise Auto & Home Insurance sells auto, home, condo, renters, specialty and umbrella insurance. Founded in 1987, we sell insurance directly to clients. We generally market our products in partnership with some of the worlds most well-known companies. These companies share our values: price products competitively and handle every client with care To learn more about our company, visit www.Ameriprise.com/auto-home or call 1.800.535.2011. *Ameriprise Auto & Home Insurance is the marketing name of IDS Property Casualty Insurance Company and Ameriprise Insurance Company, De Pere, WI, both of w...hich have sole financial responsibility for their own products. Insurance is underwritten by either company, depending on the state. The Ameriprise Auto & Home Insurance Agency places policies with unaffiliated insurers. Each insurer is solely responsible for the claims on its policies and pays the Agency for policies sold. Prices, coverages and privacy policies vary among these insurers. Both companies and the agency are subsidiaries of American Family Insurance Mutual Holding Company, which acquired both companies and the agency from Ameriprise Financial, Inc. in 2019. The terms Ameriprise Auto & Home Insurance, Ameriprise Insurance, Ameriprise Insurance Company and IDS Property Casualty Insurance Company are being used by American Family Insurance Mutual Holding Company under a license from Ameriprise Financial on a temporary basis. Ameriprise Auto & Home Insurance and the associated logo is a registered trademark of Ameriprise Financial, Inc. which is being used under license. Specific products may vary and may not be available in all states in accordance with state filings and applicable law. Insurance availability may vary by region or state. Discounts and savings vary by state and apply to certain coverages. Certain restrictions and limitations apply. IDS Property Casualty Insurance Company's California license number is 3726-7.
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