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Expertise
Consulting
Risk & Compliance
Company

FNZ

 Head of Non-Financial Regulatory Reporting

Vilas Magadum

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Dynamic senior front-office regulatory reporting, compliance, and surveillance professional with a strong investment banking and broker-dealer operations background. 
Expertise in managing large, diverse teams and overseeing multiple complex IT projects. 

Expert in US Front-office Regulatory Reporting requirements: CAT - Consolidated Audit Trail, CAIS - CAT Customer & Account Information System, EBS - Electronic Blue Sheets, ACT/TRF/ORF, SEC 605/606 reports, OATS, LOPR, TRACE, MSRB.

I am on the leadership team at FNZ Securities USA, LLC. My responsibilities include establishing, implementing, and managing new processes, capabilities, policies, and procedures (WSPs & SOPs) to meet non-financial regulatory reporting requirements like CAT, etc, and hiring vendors and talented resources.

Before returning to work for the Wall Street firms, I worked at FINRA CAT. My responsibilities included managing CAT Requirements through updates to the Industry Member Technical Specification Documents, Scenario Documents, and FAQs. As part of this role, I worked with the Industry Members, FIF (Financial Information Forum), and the SROs (SEC, FINRA, and Exchanges) to develop solutions for the complex CAT reporting scenarios. I worked with the Technology team at FINRA CAT to expand on the requirements, design/test solutions, and be the subject matter expert until the solution was deployed into the production environment. In addition, I communicated CAT reporting guidance to the Industry Members through document updates, webinars, industry forums, and direct calls. 

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