What is the opportunity?

The primary purpose of this position is to support regulatory reporting of equity and option transaction for WM. The role will mainly be responsible for managing the firms CAT reporting needs, structure, and governance specific to CAT reporting. The individual will need to understand trade flows order events, and customer account reporting. The person will be responsible for tactical vetting and solutions of trade reporting and driving positive change to the company.

What will you do?

• Develop and maintain technical documentation for end-user efficiency solutions.
• Perform ongoing production support and maintenance updates for established end-user efficiency solutions.
• Assigns responsibility and provides ongoing oversight to business areas as necessary.
• Assist in pulling data for regulatory inquiries.
• Inventory controls and supervision in one central location.
• Review, design, and implement new processes/process changes and procedures to increase department efficiency, reduce risk, or enrich service.
• Participate in business requirement development, UAT testing, end-user training, and implementation support for enhancements and new firm initiatives for changing technology systems, supporting department processes. Provide ongoing risk management and drive future CAT deliverables.
• Manage open project deficiencies deliverables.
• Work with business lines to assess new trade flows for accurate reporting.
• Holistic focus on documentation and process logic review
• Develop and provide ongoing training support for end-user resources related to the department's processes and systems. Provide feedback to department leadership team when appropriate.
• Current CAT requirements & mapping; verify accuracy or changes needed and implement process modifications. Confirms documentation, policy & procedures is in place for all business processes relating to CAT

What do you need to succeed?

Must-have

• 4-year degree from an accredited university or equivalent OR High school diploma or equivalent AND 3+ years of securities, banking, technology and/or job specific industry experience
• 1+ year prior securities, banking, technology industry and/or job specific related industry
• Securities license 99 (or able to obtain license within 120 days)
• Experience with brokerage systems
• Fully proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
• SQL ability and knowledge.
• Process knowledge including risk assessment and quantification methodologies
• Proven experience creating and implementing reporting and processes
• Sound organizational knowledge with operational mindset; including products, processes, systems and regulatory and/or client needs
• Strong interpersonal, verbal and written communication skills, with an ability to work effectively with all levels of staff and management.
• Strong organizational, data management and mathematical skills

Nice-to-have

• 4-year degree from an accredited university in business, finance or related field
• 2+ years business process redesign, robotics & AI, VBA development, MS Access development, analysis and/or risk control experience

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• Leaders who support your development through coaching and managing opportunities
• Ability to make a difference and lasting impact
• Work in a dynamic, collaborative, progressive, and high-performing team
• Flexible work/life balance options
• Opportunities to do challenging work
• Opportunities to take on progressively greater accountabilities
• Access to a variety of job opportunities across business

Job Skills

Additional Job Details