Director, Regulatory Reporting Data Analyst

Key Skills

AWS, Data Analytics, Data science techniques, Data Visualization, Large Language Models - LLMs, Microsoft-Excel, Oracle, Python Programming, Snowflake, SQL

Job Description

The Role

The Director on the Regulatory Reporting Data Analytics team will act as team lead to support the regulatory reporting process for Fidelity’s broker dealers and various customer channels as part of the broader Regulatory Reporting group within Fidelity Capital Markets. This group is responsible for collecting, processing, and reporting on a vast amount of trade and customer account data to meet external requirements set by industry regulators (FINRA, SEC, etc). You will perform strategic analysis of the firm’s internal reporting systems and processes to ensure that the firm is accurately reporting trade and customer account information to regulators, as well as improve efficiency and identify potential gaps in reporting. Additionally, the team will assist with data analysis to support institutional customer needs and external regulator inquiries. You will be collaborating with business and business partners which report across multiple assets classes with very high levels of regulatory scrutiny. It is important that the right candidate be passionate about hands-on collaboration and proactive problem-solving!

The Expertise and Skills You Bring

• Experience using Python, LLM Models, cloud and other databases (Oracle, Snowflake, AWS), SQL, Excel. other data visualization tools, and general data science knowledge
• Highly analytical with the ability to quickly comprehend large data sets in order to develop new processes, perform calculations, identify anomalies, and/or produce new reporting capabilities.
• Experience with trade and/or customer account data, or regulatory trade reporting (CAT/CAIS or other) a plus, but not required.
• Series 7 & 24 not required, but may be required to acquire after hire.
• Analyzing trading and customer identification and account data to assist with daily operational support for regulatory reporting activities, as well as performing proactive data analysis to identify opportunities for improvement within our existing reporting processes
• Supporting data research/analysis to support teams responding directly to regulator and customer inquiries
• Identifying data anomalies and gaps to understand the source of outstanding reporting issues and working with product and operations teams to define solutions
• Perform and design acceptance testing as it relates to data quality for systems and applications that support regulatory reporting activity

The Team

This dynamic team is part of Fidelity’s Capital Markets group! Fidelity, through its broker dealers, is required to send significant amounts of detailed trading and customer account and identification data to various governmental and industry regulators such as FINRA, FINRA CAT, the SEC and MSRB. The Regulatory Reporting group, across several functions, is responsible for performing these duties on behalf of the firm. The group ensures this can be done by working closely with business partners such as Trading, Technology, Customer Support teams and Compliance/Legal. The group plays a meaningful role by ensuring the firm meets stated requirements set by industry regulators and therefore not subject to disciplinary action or fines.