Apply on Employer Site

Genpact · 1 day ago

Consolidated Audit Trial

New York, United States

Full-time

Onsite

Mid, Senior Level

$100K/yr - $130K/yr

Genpact is an advanced technology services and solutions company that delivers lasting value for leading enterprises globally. They are seeking a Consolidated Audit Trial (CAT Reporting) professional who will act as the primary SME for CAT reporting, manage regulatory responses, and drive continuous improvement for CAT reporting processes.

AnalyticsArtificial Intelligence (AI)Business Process Automation (BPA)ConsultingInformation TechnologySoftware

Responsibilities

Act as primary SME for CAT reporting, controls, submissions, and exception management

Investigate External Regulator / FINRA / Exchange queries related to order lifecycle events, linkage issues, clock synchronisation, TID mismatches, FDID, LTID, allocations, etc

Perform root-cause analysis (RCA) and identify reporting breaks, data quality issues, enrichment gaps, reference data discrepancies

Draft formal regulatory responses, position papers, and evidence-based remediation reports with clear lineage & control sign-off

Retrieve and validate data from trade/order management systems, upstream reference data and reporting platforms

Maintain complete audit trail, documentation, data extracts and supporting evidences for all responses

Support remediation projects, rule updates (CAT NMS Plan changes), go-live readiness, UAT testing and control enhancements

Liaise with Compliance, Technology, Front Office, Middle Office, QA & Ops teams for issue closure

Drive MI reporting, metrics, control frameworks, and continuous improvement for CAT reporting processes

Work independently and manage prioritisation of multiple concurrent inquiries

Qualification

Consolidated Audit Trail (CAT)US equities/Options trade lifecycleFINRA/SEC/Exchange requestsSQLExcelAlteryxPythonBusiness Analyst capabilityAnalytical skillsStakeholder managementCommunication skillsAttention to detail