US Tech Solutions · 11 hours ago
Regulatory Analyst
New York, NY
Contract
Onsite
Entry, Mid Level
$33/hr - $33/hr
2+ years expUS Tech Solutions is a global staff augmentation firm providing a wide range of talent on-demand and total workforce solutions. They are seeking an experienced Regulatory Analyst to manage day-to-day position reporting obligations and assist in regulatory compliance and risk management activities.
Information Technology
Hiring Manager
Manasa Mamidala
Responsibilities
Managed day to day position reporting obligation for various for MSCO's regulatory reports such as PCS, LOPR, CGM, OCR, etc
Responsible for assisting Legal & Compliance, Risk, and Senior Ops on Federal risk requirements such as examinations, process and control reviews, root cause analysis, and other key deliverables set by the Management
Proactively identify regulatory, reputational, or financial risk in current process
Provide support to the organization on audit reviews and manage control-related activities that ensure a sound control environment
Maintain a strong control framework through the on-going development of strategic architecture, identifying key metrics such as KRIs, capacity & constraints, incident reporting and tracking
Assist in tracking manual processes, providing opinions and recommendations on risks and benefits on reg porting process and initiatives
Collaborate with regional management to improve operational risk processes
Take active role on Projects to assist the management in improving control framework, streamlining processes, establishing new procedures and other initiatives management may require
Manage short and long term strategic and tactical projects in an effort to reduce Risk
Assist line manager in streamlining procedures by tracking manual processes, and finding opportunities for improvement without systemic solutions
Assist line manager in tracking issues and reconciliation inventories
Lead initiatives and propose solutions to management to enhance control framework, streamline procedures and oversee the implementation of solutions
Timely escalation of any regulatory issues to Line Manager Support Line Managers:
Assist line managers in creating guidance, best practices or policies for newly implemented procedures providing a risk & control opinion
Assist in internal and external audits to discuss potential findings, contribute to finalizing audit report as needed
Identify and implement new opportunities to improve controls and procedures, and decommission manual process
Analyze incidents to determine root cause, control break downs, impact and preventative actions are properly captured
Propose improvements to the processes and provide guidance to line teams on the incident management process
Assist with regulatory inquiries in timely and most accurate manner
Address ad-hoc risk & projects related questions/inquiries from the line
Qualification
Required
2-3+ (at least) years of trading processing, clearing operations, deliveries / expiry processing or reg reporting experience
Strong risk management and control mindset
Individual needs to be performance-driven, proactive, with proven ability to take on challenges, set and execute agenda
Candidate should be a dynamic self-starter with the ability to work either on their own initiative as well as be a solid team player with strong problem solving skills
Ability to evaluate and identify areas of risk across the organization
Identify and implement best practices and in some cases help shape the risk and project agenda
Ability to be flexible
A willingness to engage in a wide range of issues at all levels of detail will be vital
Ability to multi-task, prioritize and be flexible to changing priorities and demonstrate good organizational skills
Ability to communicate effectively and confidently across all levels
Ability to confidently face off to senior management across divisions
Good interpersonal skills to build cross-divisional relationships; gain support and respect from key stakeholders (Business Unit, Operations, FCG , Legal & Compliance)
Good project and modelling skills to represent information in graphical forms that enhance decision-making and communications
Ability to multi-task in a high intensity environment
Ability to deliver on plans, complete next steps and resolve issues in a timely manner
Proficiency in Excel
Understanding of the related trade flows
2-3+ years of experience in the financial industry and exposure to various Regulatory reporting obligation
Preferred
Listed Derivatives or OTC Clearing experience is desirable but not required
Risk management experience
Company
US Tech Solutions
US Tech Solutions counted among the largest yet the fastest growing staffing firm; all achieved organically.
1001-5000 employees
H1B Sponsorship
US Tech Solutions has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (4)
2024 (9)
2023 (13)
2022 (24)
2021 (18)
2020 (14)
Funding
Current Stage
Late StageLeadership Team
Manoj Agarwal
Chief Executive Officer
Recent News
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