AVP Regulatory Operations

Trevose Partners; New York (NY); On-site; USD 90,000 - 120,000; Full time

Job summary

A leading bank is seeking an Assistant Vice President to join its Regulatory Operations team in New York. The role requires 2+ years of experience managing CAT or LOPR reporting processes, alongside a Bachelor's degree or equivalent. Candidates should have knowledge of financial products and a strong focus on compliance and operational controls. The position offers a competitive salary in the range of $90,000 to $120,000 annually.

Qualifications

• 2+ years of direct experience managing CAT or LOPR reporting processes.
• Knowledge of financial products such as equities, fixed income, and derivatives.

Responsibilities

• Manage daily CAT and LOPR processes, ensuring accuracy and adherence to regulatory requirements.
• Develop and maintain strong operational controls to safeguard data integrity.
• Collaborate with Technology, Front Office, and Operations teams to investigate reporting breaks.
• Support the implementation of new regulatory reporting platforms.

Skills

Management of CAT or LOPR reporting

Data integrity safeguards

Collaboration with multiple teams

Education

Bachelor's degree or equivalent experience

Job description

Overview

Legal & Compliance Recruiter | Trevose Partners | A leading bank is seeking an Assistant Vice President to join its Regulatory Operations team, supporting U.S. regulatory reporting requirements. The role will focus on ensuring accuracy, timeliness, and compliance across trade and position reporting, while contributing to improvements within the reporting framework.

Responsibilities

• Manage daily Consolidated Audit Trail (CAT) or Large Options Position Reporting (LOPR) processes, ensuring accuracy, timeliness, and adherence to regulatory requirements.
• Develop and maintain strong operational controls to safeguard data integrity, reduce risk, and improve reporting accuracy.
• Collaborate with Technology, Front Office, and other Operations teams to investigate reporting breaks and implement process enhancements.
• Support the implementation of new regulatory reporting platforms and provide input on system requirements.

Qualifications

• 2+ years of direct experience managing CAT or LOPR reporting processes.
• Bachelor’s degree or equivalent experience.
• Knowledge of financial products such as equities, fixed income, and derivatives.

Seniority level

• Associate

Employment type

• Full-time

Job function

• Other

Industries

• Banking

Base pay range: $90,000.00/yr - $120,000.00/yr