Regulatory Operations Analyst

Summary Job Description Please note: This role is not eligible for Work Visa sponsorship, either currently or in the future.  Join a collaborative and highly visible team responsible for ensuring the integrity and accuracy of critical regulatory reporting. In this role, you'll leverage your expertise in CAT, CAIS, and regulatory operations to help safeguard compliance with SEC and FINRA requirements while driving process improvements that strengthen risk controls and operational efficiency. This hybrid-friendly position offers the flexibility of remote work combined with the benefits of in-person collaboration, requiring three days per week in our Southfield, MI office .

As a Regulatory Operations Analyst, you will play a key role in managing and enhancing the firm's non-financial regulatory reporting program. You will partner with teams across Operations, Trading, Compliance, Technology, and Legal to ensure reporting accuracy, investigate issues, and support evolving regulatory requirements.

Produce, validate, reconcile, and submit regulatory reports, including: Consolidated Audit Trail ( CAT ) Customer Account Information System ( CAIS ) Electronic Blue Sheets ( EBS ) Large Options Position Reports ( LOPR ) Other regulatory reporting obligations as assigned Monitor reporting quality and identify, research, and resolve exceptions and data discrepancies. Partner with Brokerage Operations, Trading, Compliance, Technology, and Legal teams to address reporting issues and improve data quality. Evaluate new and changing regulatory requirements and support implementation efforts across impacted business areas. Participate in regulatory examinations, audits, and inquiries from FINRA, SEC, and other regulatory bodies. Conduct root-cause analysis and lead remediation efforts for identified reporting issues. Support risk assessments, testing initiatives, and control enhancements to strengthen regulatory reporting processes. Document procedures, workflows, and controls while identifying opportunities for automation and operational efficiencies. Contribute to special projects and strategic initiatives supporting regulatory compliance and operational excellence.

Experience Hands-on experience with CAT and CAIS reporting in a broker-dealer or financial services environment. Experience supporting regulatory reporting, compliance operations, or brokerage operations. Strong understanding of securities markets, trading activity, and the trade lifecycle, including: Orders Executions Allocations Knowledge of FINRA, SEC, and exchange regulatory requirements. Experience analyzing data, researching exceptions, and resolving reporting discrepancies. Ability to work independently while managing multiple priorities in a fast-paced regulatory environment. Experience supporting regulatory examinations and audits. Knowledge of Electronic Blue Sheets (EBS), Large Options Position Reports (LOPR), or similar reporting requirements. Experience with process improvement, controls testing, or risk management initiatives. Familiarity with operational workflows within brokerage or clearing environments. Knowledge & Skills Technical Knowledge Non-financial regulatory reporting requirements FINRA, SEC, and exchange regulations Brokerage operations and back-office processes Trading lifecycle and securities operations Regulatory risk management and controls Core Skills Analytical problem-solving and critical thinking Root-cause analysis and issue remediation Process improvement and workflow design Regulatory interpretation and implementation Strong written and verbal communication Advanced Microsoft Excel and reporting tools Cross-functional partnership and stakeholder management Licenses & Certifications Securities Industry Essentials (SIE) required prior to start unless exempt or grandfathered. Series 99 required prior to start. Candidates holding qualifying securities registrations