Regulatory Reporting Business Analyst

About this role

Job Description

What is the opportunity? US Regulatory Services Function ensures timely, accurate, and complete reporting to exchanges, self-regulatory organizations, and the SEC. This Senior Business Analyst role serves as a subject matter expert responsible for operational execution, strategic planning, and process optimization within regulatory reporting.

The position focuses on remediating identified issues, developing control frameworks, managing risk assessments, and supporting regulatory and business change initiatives. The Business Analyst will research and respond to regulatory inquiries and examinations while representing the department across the organization.

Key reporting areas include Electronic Blue Sheets (EBS), Consolidated Audit Trail (CAT), LOPR, Short Interest, TRACE, MSRB, QFC, OFR NCCBR, FR-Y15, Volcker TVM, and other emerging regulatory requirements. This role collaborates extensively with business groups, Compliance, Legal, Finance, and Technology teams.

What will you do? PRINCIPAL RESPONSIBILITIES Regulatory Analysis & Change Management • Conduct comprehensive impact assessments for new business initiatives, rule changes, and system modifications affecting reporting processes • Lead User Acceptance Testing (UAT) strategy development, document detailed test cases, and execute testing for regulatory, business, and control changes • Coordinate remediation of reporting anomalies through JIRA workflow management, requirements documentation, and validation testing • Prepare for and support regulatory examinations by organizing documentation and coordinating responses

Process Leadership & Control Management • Serve as primary escalation point for junior staff on complex regulatory reporting issues • Drive process improvement initiatives by identifying automation opportunities and implementing efficiency enhancements • Design, implement, and maintain controls ensuring timeliness, accuracy, and completeness of all regulatory reporting • Develop and own performance management metrics across daily, weekly, and monthly regulatory reports • Conduct periodic reviews of the regulatory reports and ensure adherence to the current requirements

Stakeholder Management & Communication • Produce periodic presentations for senior management highlighting regulatory metrics, risk exposures, and Change Management progress • Serve as primary liaison for Regulatory Services on cross-functional projects, ensuring proactive communication of program impacts and prioritization • Document, maintain, and train teams on all procedures with periodic review cycles • Manage vendor relationships with external reporting platforms including vendor platforms such as Broadridge, Fidessa and n-Tier

Strategic Planning & Development • Conduct forward-looking regulatory impact analysis for proposed rule changes and industry developments • Participate in regulatory change committees and provide subject matter expertise on implementation timelines • Develop business cases for Technology enhancements and process improvements • Maintain regulatory calendar and coordinate firm-wide preparation for compliance deadlines

What you need to succeed? Required Skills:

• Bachelor’s Degree in Engineering, Business, Finance, or related field • 4+ years Big 4 Consulting/Advisory experience with regulatory focus • Deep understanding of US regulatory reporting requirements across multiple asset classes • Expert knowledge of trade lifecycle (Orders, Executions, Allocations) and Middle Office processing • Advanced proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Visio) including advanced Excel functions • Demonstrated expertise in change management including impact assessment, requirements gathering, UAT, and production verification • Project management methodology experience (Agile/Waterfall certification preferred)

Technical Requirements • Strong understanding of financial products: Equities, Listed Derivatives, Fixed Income, OTC Derivatives • Knowledge of complex options trading including allocations and position reporting • Understanding of data warehousing concepts and reference data sourcing • Basic SQL and VBA skills required; Python or other data analysis tools preferred • Experience with audit trail requirements and data lineage documentation

Preferred Qualifications • Broadridge and Fidessa platform experience • Previous Regulatory Examination experience • Advanced degree (MBA, CFA, or equivalent) • Financial services industry certifications

Communication & Leadership • Excellent written and verbal communication skills with ability to present to senior executives • Strong relationship-building capabilities across all organizational levels • Demonstrated ability to influence and lead without direct authority • Training and mentoring experience with junior staff

Performance Standards • Exceptional attention to detail with zero-tolerance approach to reporting errors • Ability to work under pressure and adapt to rapidly changing regulatory environment • Strong problem-solving skills with demonstrated track record of innovative solutions • Proven dependability with consistent delivery against tight deadlines • High professional standards, integrity, and business judgment

Risk & Control Responsibilities • Own operational risk assessment for assigned reporting areas • Maintain key risk indicators and escalate threshold breaches • Ensure compliance with internal controls and audit requirements • Report regulatory risks to compliance and senior stakeholders

This role offers the opportunity to become a recognized subject matter expert in regulatory reporting while driving meaningful improvements to critical business processes. The position provides exposure to senior leadership and regulatory bodies, with clear advancement paths within Regulatory Services or broader Risk & Compliance functions.

What’s in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing, and

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