Manager, Regulatory Reporting Data Analytics
$80,000–$153,000 year
On-siteNew York City, New York, United States or Boston, Massachusetts, United States
Job Summary
Analyze trading and customer account data to support daily operational needs for regulatory reporting activities while identifying anomalies to define solutions with product and operations teams. Design acceptance testing for data quality systems and implement AI/ML solutions to automate reporting processes, validate data, and reduce manual effort. Collaborate with business partners across multiple assets classes to respond to regulator inquiries and develop new reporting capabilities for the Regulatory Reporting group within Fidelity Capital Markets. This role requires a FINRA Series 7 license and proficiency in SQL, Python, and data visualization tools.
Required Qualifications
- Bachelor's degree
- FINRA Brokerage license Series 7 required within 6 months of hire
- Proficient with SQL
- Proficient with Oracle databases
- Proficient with Excel
- Proficient with other data visualization tools
- General data science knowledge
- Highly analytical
- Ability to quickly comprehend large data sets
- Ability to develop new processes
- Ability to perform calculations
- Ability to identify anomalies
- Ability to produce new reporting capabilities
- Ability to work with business and business partners
- Ability to collaborate across multiple assets classes
- Passion for hands-on collaboration
- Proactive problem-solving
- Ability to respond to institutional customer needs
- Ability to respond to external regulator inquiries
- Ability to perform strategic analysis
- Ability to increase efficiency within internal reporting systems and processes
- Ability to analyze trading and customer identification and account data
- Ability to perform proactive data analysis
- Ability to identify opportunities for improvement within existing reporting processes
- Ability to support teams responding directly to regulator and customer inquiries
- Ability to identify data anomalies and/or gaps
- Ability to understand the source of outstanding reporting issues
- Ability to work with product and operations teams
- Ability to define solutions
- Ability to explore and implement AI and Machine Learning solutions
- Ability to automate regulatory reporting processes
- Ability to validate regulatory reporting processes
- Ability to enhance regulatory reporting processes
- Ability to improve accuracy
- Ability to reduce manual effort
- Ability to support data governance
- Ability to perform quality control
- Ability to perform data mapping documentation
- Ability to perform acceptance testing
- Ability to design acceptance testing
- Ability to ensure data quality for systems and applications
- Ability to ensure the firm meets stated requirements set by industry regulators
- Ability to avoid disciplinary action or fines
- Ability to work onsite
- Ability to comply with Securities Exchange Act of 1934
- Ability to comply with Investment Advisers Act of 1940
- Ability to comply with Investment Company Act of 1940
- Ability to comply with ERISA
- Ability to comply with state laws governing securities, investment and retirement-related financial activities
- Ability to comply with rules and regulations of self-regulatory organizations including FINRA
- Clean criminal history
Desired Qualifications
- Experience with trade and/or customer account data
- Experience with regulatory trade reporting (TRACE, MSRB, ACT, EBS, CAT/, Rule 605/606)
- Familiarity with AI/ML tools
- Experience with Python
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