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Marex · 17 hours ago

Operations Regulatory Reporting Analyst - VN2363

New York, NY

Full-time

Onsite

Mid, Senior Level

$85K/yr - $110K/yr

Marex is a global financial services platform providing essential liquidity and market access to clients in various markets. The Operations Regulatory Reporting Analyst will support and maintain operational systems related to regulatory reporting processes and ensure compliance with exchange and regulatory requirements across multiple asset classes.

FinanceFinancial ServicesManagement Consulting

H1B Sponsor Likely

Hiring Manager

Peter Paricka

Responsibilities

Daily monitoring and problem resolution associated to CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting) (for Futures and Part 20), Dodd Frank, and other Position and Transactional reporting

Support/maintain general static data, Exchange and Regulatory enrichment information across platforms utilised by Operations

Assist with system changes and upgrades in line with business, exchange & regulatory requirements

Ensure written procedures are in place and up to date for daily/monthly departmental tasks

Efficient email management, including both personal & group mailboxes

Ensuring compliance with the company’s exchange/regulatory requirements under and not limited to FINRA, SEC and CFTC

Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with

Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values

At all times complying with Marex’s Code of Conduct

To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility

To report any breaches of policy to Compliance and/ or your supervisor as required

To escalate risk events immediately

To provide input to risk management processes, as required

The Company may require you to carry out other duties from time to time

Qualification

OTC Derivatives Regulatory ReportingCAT (Consolidated Audit Trail)Dodd FrankCFTC LTR (Larger Trader Reporting)Securities laws knowledgeRegulatory Reporting experienceMS Office experienceProblem solving skillsAttention to detailTeam collaboration

Required

Excellent verbal and written communication skills

A collaborative team player, approachable, self-efficient and influences a positive work environment

Demonstrates curiosity

Resilient in a challenging, fast-paced environment

Ability to take a high level of responsibility in a fast pace and high-volume environment

Excels at building relationships, networking and influencing others

Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

SME in OTC Derivatives Regulatory Reporting requirements

Experience of CAT (Consolidated Audit Trail), CAIS (Customer and Accounting Information Systems), Dodd Frank, CFTC LTR (Larger Trader Reporting), Trace and other transactional Regulatory Reporting requirements essential

Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA, SEC, OCC, CFTC, NFA and other Self Regulatory Organizations

Previous exposure/Knowledge of Dodd Frank

Ability to work effectively under pressure in a busy environment

Good communication skills within team & other business areas

Punctual & enthusiastic

Flexible & accustomed to constant changing responsibilities

Following a strict & disciplined regime, offering assistance to all employees

Demonstrates enhanced understanding of Futures & Options industry in areas including; Reconciliations, Position Maintenance, Regulatory Reporting and static data

Problem solving skills; ability to resolve issues in a timely & efficient manner

MS Office experience

Able to work on own initiative & be part of a team

Attention to detail

Ability to develop and enhance systems and processes to improve efficiency

Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this

Company

Marex

Glassdoor2.8

Marex (Nasdaq:MRX) is a diversified financial services platform.

Founded in 2005

London, England, GBR

1001-5000 employees

http://marexspectron.com

H1B Sponsorship

Marex 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 (11)

2024 (5)

2023 (1)