Regulatory Reporting Operations

Delta Capita; New York (NY); Hybrid; USD 100,000 - 120,000; Full time

Job summary

Delta Capita is seeking an experienced Regulatory Reporting Operations SME in New York to oversee day-to-day regulatory submissions, monitor activity, investigate exceptions, and drive remediation with stakeholders across technology, operations, and vendors.

The role supports platform migration and embedding reporting into BAU processes, ensuring accuracy, timeliness and robust controls across SEC SBS, CFTC, EMIR, SFTR and MiFID II regimes.

Qualifications

• 3+ years of hands-on experience in regulatory reporting operations or related field.
• Strong knowledge of regulatory regimes such as SEC SBS, CFTC, EMIR, SFTR and MiFID II.

Responsibilities

• Own and support day-to-day regulatory reporting across applicable regimes, ensuring submissions are accurate and timely.
• Monitor daily reporting activity and investigate exceptions and reconciliation breaks.
• Perform reporting reconciliations and resolve data quality issues in the trade lifecycle.
• Work hands-on with data to understand root causes and support remediation.
• Provide SME support across reporting regimes and ensure effective controls are in place.
• Support onboarding, testing and adoption of Report Hub, including data mapping and workflow design.
• Produce management information, KPI reporting and governance materials.
• Maintain audit-ready documentation for regulatory reviews and internal audits.

Skills

Regulatory reporting

OTC derivatives

Excel advanced

Stakeholder management

Regulatory regimes knowledge

Tools

Report Hub

Regulatory reporting platforms

Job description

Location: New York

Role Type: Full-Time

We are seeking an experienced Regulatory Reporting Operations SME to provide hands- on support across the day-to-day operation, control and oversight of regulatory reporting, identify systemic issues, and work with relevant teams on long term remediation solutions.

This is an operational SME role requiring strong practical knowledge of regulatory and transaction reporting. You will be responsible for monitoring reporting activity, investigating exceptions and rejects, performing reconciliations, resolving data quality issues and ensuring regulatory submissions are accurate, complete and delivered within required timelines.

You will also support a platform migration, helping to embed the platform into BAU reporting processes and ensuring an effective transition into the target operating model.

Key responsibilities:

• Own and support day-to-day regulatory reporting across applicable regimes, ensuring submissions are accurate, complete and delivered within regulatory timelines.

• Monitor daily reporting activity and investigate exceptions, rejects and reconciliation breaks, driving issues through to resolution.

• Perform reporting reconciliations and identify and resolve data quality and trade reporting discrepancies.

• Work hands- on with transaction and reporting data to understand the root cause of reporting issues and support remediation.

• Provide SME support across regulatory reporting regimes including SEC SBS, CFTC, EMIR, SFTR and MiFID II, as applicable.

• Maintain and enhance reporting controls to improve reporting accuracy, completeness and operational efficiency.

• Work closely with business stakeholders, operations, technology teams, reporting vendors, trade repositories and service providers to resolve reporting issues.

• Provide subject matter expertise on reporting obligations, UTI/UTR generation, lifecycle events, reconciliations and reporting controls.

• Support the onboarding, testing and operational adoption of Report Hub, including data mapping, testing, workflow design and production readiness.

• Support regulatory change initiatives, platform upgrades and new reporting requirements.

• Produce relevant management information, KPI reporting and governance materials.

• Maintain audit-ready documentation and provide support for regulatory reviews, examinations and internal audits.

• 3+ years' hands- on experience in regulatory reporting operations, transaction reporting, post-trade operations or a closely related regulatory reporting function.

• Strong practical knowledge of one or more regulatory reporting regimes, including SEC SBS, CFTC, EMIR, SFTR and/or MiFID II.

• Experience monitoring regulatory submissions and resolving reporting exceptions, rejects and reconciliation breaks.

• Strong understanding of OTC derivatives, securities financing transactions and associated trade lifecycle events.

• Hands- on experience working with trade repositories, reporting vendors and regulatory reporting platforms.

• Experience performing reporting reconciliations and investigating data quality issues.

• Strong understanding of regulatory reporting controls and governance.

• Ability to work across operations, technology and business teams to investigate and resolve reporting issues.

• Strong analytical skills with advanced Excel capabilities.

• Strong communication and stakeholder management skills.

Preferred Experience

• Experience supporting the transition of regulatory reporting solutions into BAU operations.

• Exposure to data mapping, testing, workflow design and production readiness activities.

• Understanding of UTI/UTR generation and regulatory reporting reconciliations.

• Experience within an investment bank, asset manager, hedge fund, market infrastructure provider or regulatory reporting vendor.

Expectations Regarding Hybrid Working:

As we are a Service Provider and Consulting firm servicing clients, our policy on physically working from the office (which may be the client’s offices or our own offices depending on the client) aligns to what our client’s policies and expectations are and these vary. Most of our clients now require a minimum of 3 days per week in the office, 2 days from home, and accordingly, this is also the minimum expectation that Delta Capita requires. However, some of our clients have now moved up to 4 or even 5 days in the office and we require candidates to be flexible to meet our clients’ demands.

Salary Range:

$100,000-$120,000

Who We Are:

Delta Capita Group (a member of the Prytek Group) is a global managed services, consulting and solutions provider with a unique combination of experience in Financial Services and technology innovation capability. Our mission is to reinvent the financial services value chain providing technology based mutualized services for financial institutions for non-differentiating services.

Managed Services

Resource Augmentation

Consulting

Technology

To learn more about Delta Capita and our culture click here:Working at DC - Delta Capita.