Sr. CAT Compliance Analyst

Capco – The Future. Now.

Capco is a distinctly and positively different place to work. Much more than consultants, we are active participants in the global financial services industry. Our passionate business and technology professionals enjoy a unique environment where they are actively encouraged to apply intellect, innovation, experience and teamwork. We ware dedicated to fully supporting our world class clients as they respond to challenges and opportunities in: Banking & Payments, Capital Markets, Insurance, Wealth & Asset Management and Energy. Experience Capco for yourself at capco.com.

Let’s Talk About You

You want to Own Your Career. You’re serious about rising as far and as fast as your work and achievements can take you. And you’re ready to write the next chapter of your career story: a challenging and rewarding role as a Capco Project Manager.

Let’s Get Down to Business

Capco is looking for talented, innovative and creative people to join our incredible and growing Team focused on our financial services clients. We are looking for experienced Technology Project Managers with exceptional domain expertise who can work directly with our clients on mission-critical projects. 

About the Role

Responsibilities 

• The Consolidated Audit Trail (CAT) is a regulatory framework established by the SEC to track all order and trading activity throughout U.S. markets for listed equities and options.
• It aims to enable regulators to efficiently monitor trading activity and ensure compliance with regulatory obligations.

Show Us What You’ve Got 

• • In depth knowledge and working experience of CAT regulation & rules in a major financial institution OR similar experience in other major regulations: MIFIR, DF, SFTR
  • Understanding of capital markets environments - listed equities and options trade flows / life cycle events
  • Work with compliance, legal and IT to analyse issues and defects, identify root cause analysis and document requirements and solution to resolve
  • Fluent in working with large data (millions of records) using SQL, advanced visual Basic/ macro’s / excel functions - including ETL functions, data mapping & transformation
  • Experience with regulatory trade reporting concepts like controls, trade reporting reconciliations, reference data enrichment, data backloading
  • Ability to provide client guidance and solution options, best practises for certain issues and challenges (e.g. source to back reconciliation)
  • Ability to self start and work independently
  • Ability to create data load files, submit to finra and analyse response file / errors

 

Professional experience is important. But it’s paramount you share our belief in disruptive innovation that puts clients ahead in a tough market. From day one, your key mission will be to perceive new and better ways of doing things to give your clients an advantage.

 

Now Take the Next Step

We have:

• Access to industry-focused talent globally
• Ability to leverage best-in-class innovative products and solutions for complex architecture and large-scale transformation
• Extended global geographic market reach
• Ability to capitalize on our client footprint and deep domain expertise within financial services and energy

 

For more information about Capco, visit www.Capco.com.

Capco is an equal opportunity employer. We evaluate qualified applicants without regard to race, colour, religion, sex, sexual orientation, gender identity, marital status, genetic information, national origin, disability, veteran status, and other protected characteristics.