Regulatory Reporting Associate / Vice President

Overview

A global investment firm is seeking a Regulatory Reporting Associate / Vice President to join its Greenwich, CT office.

The Compliance group is responsible for designing, implementing, monitoring, and testing the firm’s control environment. It is responsible for ensuring the firm is acting as a responsible fiduciary to our clients. It creates sets of policies and procedures that define how the firm operates its business. It analyzes and visualizes data to monitor the activities of the organization and give advice to other functions. It is also mandated with ensuring the firm complies with all relevant regulatory and industry rules and regulations.

The firm is currently seeking an exceptionally talented individual with five to seven years’ with experience with regulatory reporting, including derivatives transaction reporting, preferably with an investment manager, broker-dealer, or fund administrator, to join our Compliance Department.

Key Responsibilities

• Assist in the preparation and submission of all regulatory reports filed on behalf of the firm.
• Coordinate collecting and synthesizing data for various daily, weekly, monthly, quarterly,and annual reports to U.S. and foreign regulators and departments, such as the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, as well the UK’s FCA, Germany’s BaFin, Italy’s CONSOB, and various others.
• Develop and document internal processes and procedures related to the firm’s various current and future filing obligations.
• Keep abreast of global regulatory developments, particularly in the U.S., Asia, and Europe, and apprise other departments and groups of applicable requirements by researching regulatory and filing rules and writing and communicating guidelines and while becoming a part of a strategic solution for process and control modifications within the firm.
• Develop and enhance processes to collect and synthesize data to review and reconcile transaction reporting data related to EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime.

Skills, Knowledge & Experience

• An undergraduate degree with a focus in Accounting, Finance or Computer Science
• Preferred experience with major shareholder / disclosure of interest filings, Section 13, the EU Short Sale Rule, Treasury International Capital (TIC) reports, and/or EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime
• Demonstrated ability to improve processes, create efficiencies
• High proficiency in Excel and Bloomberg
• Knowledge of complex financial derivatives
• Experience with SQL or Python is a plus

Key Competencies

• Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet
• deadlines with limited supervision and exercise sound judgment.
• A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
• Well-organized and detail-oriented.
• Able to focus on details and their interaction, while keeping in mind the bigger picture.
• Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm.

Company Benefits

• This job is also eligible for an annual discretionary bonus.
• The firm offers comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), and any other benefits to eligible employees.