Phaxis ยท 2 days ago
AVP - Regulatory Operations (Equity)
New York, NY
Full-time
Hybrid
Senior Level
$80K/yr - $135K/yrPhaxis is a global investment bank seeking an equity regulatory operations candidate to join their reporting team. The role involves monitoring and reconciling equity regulatory reporting, investigating reporting issues, and ensuring compliance with regulatory requirements.
DeliveryHuman ResourcesStaffing Agency
Responsibilities
Monitor and reconcile equity regulatory reporting across CAT, CAIS, ORF, TRF, and SEC Rule 605/606
Investigate and resolve reporting rejects, linkage issues, and data discrepancies using nTier
Perform daily CAT, CAIS, CAT vs. 606, and ORF/TRF reconciliations
Identify and escalate reporting risks, trends, and control gaps to management
Maintain strong governance and controls to ensure regulatory compliance
Partner with Trading, Technology, and Compliance on equity reporting initiatives and enhancements
Support new regulatory reporting implementations and system upgrades
Respond to Client and SEC inquiries and provide accurate Electronic Blue Sheet (EBS) data
Qualification
Required
Experience with equity and options products, including common and preferred stocks and listed and OTC options
Working knowledge of CAT, CAIS, ORF, TRF, and Rule 605/606
Experience with Client platforms (BPS, IMPACT, GLOSS)
Company
Phaxis
Phaxis is one of the nation's leading recruiting and consulting firms.
Founded in 2002
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Seth Friedland
Co-Founder and CEO
E
Erik DiGiacomo
President
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