Job
Description
As a Regulatory Reporting Associate within the AM Operations team, you will be responsible for the preparation of daily, monthly, and quarterly summary reports for key regulators, exchanges, and stakeholders. You will have the opportunity to develop solid working relationships with various areas of the firm, provide team-level project management support, and participate in strategic initiatives. This role requires a strong understanding of financial products, regulatory framework, and excellent communication skills. You will also need advanced computer skills and knowledge of Python, Alteryx, Tableau, etc. Job Responsibilities Prepare daily, monthly, and quarterly summary reports for key Americas/EMEA/Asia regulators, exchanges, and other stakeholders (internal/external). Supervise the daily work in the team, ensuring the functions have proper coverage, and escalate any concerns to management. Champion an effective escalation process and practice within the team, including thorough analysis of issues, preparation of incident reports, and recommendation of corrective and preventive actions. Review and enhance processes, procedures, checklists, and reports to ensure they are current and accurate. Develop solid working relationships with many other areas of the firm, including front office, technology, legal, compliance, and ops teams. Provide team-level project management leadership/support to all initiatives. Work to help centralize relevant regulatory reporting activities across operations, demonstrating a willingness to learn and perform tasks. Manage training and handover of production responsibilities, including BCP arrangements and oversight control. Participate in other initiatives from the AM Ops perspective to achieve overall AM Ops strategic goals. Required qualifications, skills and capabilities Strong understanding of financial products (FI, currency, SWAPs, and/or Equities products) Good understanding of regulatory framework and practice, regulators, SROs and financial products A detailed orientation with an ability to connect with the regulatory risk concerns of the AM Ops Ability to work quickly and accurately in fast passed environment Excellent verbal and written communication skills, with the ability to provide concise team communication and management updates Excellent computer skills - Advanced Excel, Access, power-point, word etc. Knowledge of Python, Alteryx, Tableau, etc.
