Analytics Consultant

Job Title: Regulatory Reporting Analyst – Consolidated Audit Trail (CAT)

Project Details:
The contractor will support the Regulatory Reporting team within CIB Operations, specifically focused on the Consolidated Audit Trail (CAT). The role is responsible for monitoring, correcting, and analyzing order events to ensure compliance with FINRA regulations. A primary focus will be fixing out-of-sequence events within CAT for options orders.

Key Responsibilities:

Perform corrections within the Consolidated Audit Trail to resolve out-of-sequence and other reporting issues.

Conduct analysis and data entry to ensure accurate and timely submissions to the CAT.

Utilize Fidessa and other order management tools to review and reconcile order events.

Leverage the FINRA CAT Reporter Portal, FIS User Interface, and/or nTier User Interface to complete reporting requirements.

Perform complex data analysis to identify trends, gaps, and potential issues in regulatory reporting.

Collaborate with internal stakeholders across Operations and Compliance to ensure reporting accuracy.

Maintain strong knowledge of capital markets processes and regulatory reporting standards.

Utilize Microsoft Excel to manipulate, analyze, and reconcile large datasets.

Top Skills / Qualifications:

Hands-on experience with Consolidated Audit Trail (CAT) reporting.

Proficiency with Fidessa order management system.

Experience with FINRA CAT Reporter Portal.

Familiarity with FIS and/or nTier user interfaces.

Strong knowledge of capital markets (options and equities).

Advanced Microsoft Excel skills (pivot tables, VLOOKUP, formulas, data analysis).

Strong attention to detail and ability to work independently in a fast-paced environment.

Equal Opportunity Employer / Disabled / Protected Veterans

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For temporary assignments lasting 13 weeks or longer, AppleOne is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.

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We also consider for employment qualified applicants regardless of criminal histories, consistent with legal requirements, including, if applicable, the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance. Pursuant to applicable state and municipal Fair Chance Laws and Ordinances, we will consider for employment-qualified applicants with arrest and conviction records, including, if applicable, the San Francisco Fair Chance Ordinance. For Los Angeles, CA applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.

Additional Skills

(none specified)