our Client is looking for Audit Trial SME
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Jagadeesh
Dec 11, 2025, 1:30:25 PM (17 hours ago) Dec 11
to jagadee...@gmail.com
Job Role : Audit Trial SME
Location : NYC
Experience : 7-10years
Skills :
• Strong experience in Consolidated Audit Trail (CAT) regulatory reporting (Order, Allocation, Route, Fulfillment).
• Deep understanding of US equities/Options trade lifecycle.
• Prior experience responding to FINRA/SEC/Exchange requests including submissions of evidence packs.
• Strong Business Analyst capability – requirement gathering, documentation, JIRA stories, process mapping.
• Hands-on experience analyzing data via SQL / Excel / Alteryx / Python
• Familiarity with Trade Booking, OMS/EMS systems, reporting vendors (e.g., Broadridge/DTCC/TRAX)
• Prior experience in global bank regulatory reporting teams (MiFID/EMIR/CAT/SEC/TRACE )
• Deep understanding of US equities/Options trade lifecycle.
• Prior experience responding to FINRA/SEC/Exchange requests including submissions of evidence packs.
• Strong Business Analyst capability – requirement gathering, documentation, JIRA stories, process mapping.
• Hands-on experience analyzing data via SQL / Excel / Alteryx / Python
• Familiarity with Trade Booking, OMS/EMS systems, reporting vendors (e.g., Broadridge/DTCC/TRAX)
• Prior experience in global bank regulatory reporting teams (MiFID/EMIR/CAT/SEC/TRACE )
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