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Trade Reporting Supervisor

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #467
Thursday, September 10, 2020
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The Trade Reporting Supervisor will manage a team and be responsible for all aspects of firm regulatory reporting as it relates to institutional and retail equity trading.  The ideal candidate will already be familiar with current equity reporting rules and regulations (OATS, EBS). The candidate should also be familiar with or will be required to learn all necessary aspects of CAT (Consolidated Audit Trail) reporting, including providing support in firm testing of CAT as well as assisting with drafting any firm workflows/policies and procedures in regards to CAT.  The candidate will also need to be familiar with the firm’s equity OMS (order management systems) as well as the equity trade execution life cycle at Janney. 

Essential duties and responsibilities include:  


  • Work with the equity trading desk to investigate all outstanding trade reporting problems (errors, discrepancies, trade corrections, etc.).
  • Monitor and assist in the timely resolution of all regulatory reporting discrepancies/errors internally and within the respective FINRA Gateway.
  • Document and finalize all actions and workflows in relation to CAT testing and exception management.
  • Develop and/or update all policies and procedures in regards to all aspects of equity trade reporting (OATS, EBS, and CAT).


  • Strong Project Management Skills
  • Technically proficient in MS Office Suite
  • Familiarity with Refinitiv/Thomson, Bloomberg and Flex Trading
  • Strong written and verbal communication skills
  • Ability to work in a fast paced environment and meet critical deadlines
  • Motivated self-starter with a strong sense of responsibility in their work
  • A strong team player who is cooperative and works well under pressure
  • Strives for accuracy and attention to detail in all work
  • Proven skill in managing multiple tasks and in establishing priorities.
  • Ability to learn quickly and adapt to new changes and new challenges



  • Bachelor’s degree or equivalent experience

  • 3-5 years of financial services operations or compliance experience along with regulatory trade reporting experience and some management experience

  • Working knowledge of applicable financial products, e.g. equities and options

  • Series 7 preferred or ability to obtain within 6 months of hire

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America