Cat And 606 Regulatory Reporting Analyst

Dash Financial Technologies, LLC is seeking a CAT and 606 regulatory Reporting Analyst

Objective

Involved in DASH Financial Technologies analysis, definition, support, and generation of Consolidated Audit Trail (CAT) and 606 reporting. Manages the requirement and coordinates the implementation and delivery of regulatory, trading, TCA, and risk reports to customers.

Essential Functions

• Compiles CAT/CAIS data in response to regulatory inquiries and exams.
• Defines new requirements for additional CAT/CAIS features and works with the development team to build the new features. Test and verify the results of the new features in UAT and in production. Keeps abreast of new requirements and defines how to implement.
• Assists in analysis and generation of DASH 606 Public reports as well as providing customers with regulatory 606 reports.
• Supports DASH Financial Services Consolidated Audit Trail (“CAT”) daily review of submitted equity and options events including analyzing and correcting errors and interacting with counterparties to resolve issues. Oversee DASH Financial Services CAT Customer & Account Information System (CAIS) submission and corrections. Collaborates with DASH Internal Sales force and customers as a subject matter expert (“SME”) to propose CAT solutions.
• Develops, organizes, implements, and develops procedures for the improvement of generation of reports for the firm client base. Acts as a liaison between DASH sales team and the development team. Performs testing of the reports for correctness of data and the accuracy of the implementation to the customers’ requirements.

Supervisory Responsibility

This position has no supervisory responsibility.

Required Education and Experience

• Excellent verbal and written communication skills.
• Must have at least 2 years’ hand-on experience with CAT.
• Bachelor’s degree in a related field
• Familiarity in 606 rule.
• At least 3 years’ experience in the financial industry dealing with Options and Equities.
• Strong Excel and SQL skills
• Proficiency in CAT and CAIS requirement specification.
• Knowledge of Financial Information Exchange FIX protocol.

Preferred Education and Experience

• Familiarity with equities and options
• Knowledge of algorithm training pr

About Dash

Dash Financial Technologies is a leading trading technology provider to the institutional trading community. With a suite of highly customizable tools, Dash designs and delivers intelligent, high performance solutions in four product categories: Trading Technologies, Execution Services, Analytics and Regulatory Technologies. With a relentless focus on transparency, performance and customization, Dash Financial Technologies caters to institutions that require increasingly specialized, complex and adaptable tools to exceed their goals surrounding best execution.

Mission Statement

Our mission is to create elegant, high performance technology solutions for the capital markets community. Founded on a philosophy of transparency, we strive to execute our goals with focus and passion, while fostering a culture of education, innovation and craftsmanship.

AAP/EEO Statement

DASH Financial Technologies provides equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, DASH Financial Technologies complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

DASH Financial Technologies expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status. Improper interference with the ability of Dash Financial Technologies employees to perform their job duties may result in discipline up to and including discharge.

Other Duties

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.