Capital Markets Regulatory Reporting Operations Representative

Description:

Fidelity’s broker-dealers, National Financial and Fidelity Brokerage Services, are required to send significant amounts of detailed trading data to various governmental and industry regulators such as FINRA, the SEC and MSRB. The regulators use this information to monitor brokers, and their customers for front running, insider trading and other illegal trading behaviors. Working with Trading Managers, Operations Staff, Compliance and Technology teams, the Regulatory Reporting group is responsible for the review and analysis of this data and the related business and system flows related to TRF, MSRB, TRACE, OATS, INSITE, Rules 605 and 606, Electronic Blue Sheets, and LOPR to ensure its accuracy and completeness. Issues with regulatory reporting can lead to inquiries, disciplinary action or fines.

The Expertise We’re Looking For

• Bachelor's Degree in Accounting, Finance or other related field
• You have 0 to 2 years of Capital Markets or Financial Services Experience

• Brokerage industry experience, preferably in trading or middle/back-office operations

• Working knowledge of equity, fixed income, and derivative products
• Strong understanding of basic accounting principles, brokerage accounting, and securities settlement and custody preferred