Role details

This position is now filled

OATS Regulatory Reporting Operations

Jersey City   •  Permanent

Bullet points

  • Market Leading International Investment Bank
  • Rapidlty Growing OATS Regulatory Reporting Operations

About Our Client

Market Leading International Investment Bank

Job Description


The OATS Regulatory Reporting Operations group is responsible for ensuring the timeliness, accuracy, and completeness of Order Audit Trail System (OATS) regulatory reporting. The role sits within the Production Reporting Team, part of Regulatory Operations, which was recently created to help provide essential regulatory risk management.

The role consists of performing investigation and submission activities, remediation of issues identified, supporting regulatory change initiative, and generation of enhanced metrics in order to report and drive down exceptions. The role works closely with several areas of the firm to support the above functions, including Operations, businesses heads and managers, Compliance, Legal, and Technology.

We are looking for an individual with strong critical thinking skills and can function autonomously. Working with the rest of the Production Reporting Team, this is a great opportunity to learn about a wide variety of different banking reporting regulations, including new regulations and their impact to the industry. The ability to deal with complex issues and strong communication skills are a must.

Day-to-Day Responsibilities:

  • Perform daily OATS regulatory reporting functions.
  • Ensure timeliness, accuracy, and completeness of OATS regulatory reporting.
  • Identify, analyze, and resolve regulatory reporting issues.
  • Participate in exception review working group meetings across businesses, Compliance, Operations, Legal & Technology stakeholders.
  • Generate daily/weekly/monthly metrics which provide the firm with insight into: Manual vs. Technological exception route causes, firm volumes vs. industry averages, and individual owners of violations.
  • Make actionable recommendations for break reduction.
  • Partner with Regulatory Operations Business Analysis and Control Teams to develop and modify controls as needed, test changes to controls, assist with implementation of new regulatory requirements, and document policies and procedures
  • On an ad-hoc basis assist with the completion of other regulatory reporting functions supported by the production team (Electronic Blue Sheets, Reg SHO, Short Interest, Volcker metrics, LOPR, amongst others)


  • BA or BS or equivalent preferably with emphasis in Business, Accounting, Finance, or Economics. Or strong extended experience in equivalent role.
  • 3-years' experience in the financial industry
  • Understanding of equity markets
  • Understanding of trading life cycle (Orders, Executions, Allocations) and Operational Processes preferred
  • Prior OATS experience is a plus
  • Knowledge of other types of regulatory reporting such as ACT, INSITE, Electronic Blue Sheets, Reg SHO, Short Interest, and/or LOPR is a plus
  • Ability to acquire and apply new/enhance subject matter expertise
  • Results and execution focused orientation with strong analytical and logical problem-solving skills
  • Ability to identify process improvement opportunities and document requires for automated solutions
  • Excellent interpersonal and communication skills

The Successful Applicant

  • Strong proficiency in MS Word, Excel, PowerPoint and Outlook
  • Strong organizational and prioritization skills
  • Ability to build strong working relationships with people at all organizational levels
  • Ability to work well under pressure, adapt to unexpected events, prioritize, and multi-task in a deadline driven environment

What's on Offer

Comprehensive Compensation Package;

  • Competitive Base Salary
  • Comprehensive Benefits Package
  • Discretionary Annual Bonus