Associate, Regulatory Reporting and Compliance

The Regulatory Reporting & Compliance team is responsible for ensuring the accurate, complete, and timely fulfillment of regulatory reporting obligations across multiple jurisdictions. The team partners closely with Compliance, Legal, Operations, Technology, Risk, and Business stakeholders to maintain a robust control framework and support evolving regulatory requirements.

As an Associate, you will play a key role in executing regulatory reporting processes, monitoring reporting quality, performing control activities, driving issue resolution, and supporting strategic initiatives focused on automation, governance, and operational excellence.

Key Responsibilities:

• Support end-to-end regulatory reporting processes across applicable regulations and jurisdictions.
• Ensure regulatory submissions are accurate, complete, and delivered within prescribed timelines.
• Perform daily, weekly, and monthly reporting controls and reconciliations.
• Monitor reporting completeness, timeliness, and data quality metrics.
• Investigate reporting exceptions, breaks, acknowledgements (ACKs), rejections (NACKs), and data quality issues.
• Coordinate remediation activities and track issues through closure.

Compliance & Risk Management:

• Execute and enhance regulatory reporting control frameworks.
• Support internal audits, compliance reviews, and regulatory examinations.
• Maintain evidence supporting regulatory reporting obligations and control execution.
• Assist in identifying process risks and implementing preventive and detective controls.
• Escalate material issues and emerging risks appropriately.

Data Analysis & Process Improvement:

• Perform data analysis to identify trends, anomalies, and process improvement opportunities.
• Support root cause analysis for reporting defects and operational incidents.
• Contribute to automation, efficiency, and control enhancement initiatives.
• Partner with Technology teams to define and test system enhancements.
• Assist with regulatory change implementation and process documentation updates.

Stakeholder Management:

• Collaborate with Legal, Compliance, Operations, Technology, Risk, and Business teams on reporting requirements and issue resolution.
• Participate in governance forums and reporting oversight meetings.
• Communicate reporting status, key risks, and remediation progress to stakeholders.
• Support regulatory change management efforts and business readiness activities.

Documentation & Governance:

• Maintain process documentation, operating procedures, and control inventories.
• Support management information (MI), KPIs, KRIs, and governance reporting.
• Ensure procedures remain aligned with regulatory requirements and operational practices.
• Contribute to governance, audit readiness, and control documentation activities.

Required Qualifications:

• Bachelor's degree in Finance, Accounting, Economics, Business, Information Systems, or a related field.
• 2-5 years of experience in Regulatory Reporting, Operations, Compliance, Risk Management, Financial Services, or a related function.
• Strong analytical and problem-solving skills.
• Excellent attention to detail and control-oriented mindset.
• Strong written and verbal communication skills.
• Proficiency in Microsoft Excel, PowerPoint, and other MS Office applications.
• Ability to manage multiple priorities in a fast-paced environment.

Preferred Qualifications:

• Knowledge of regulatory reporting regimes such as EMIR, UK EMIR, MiFIR, SFTR, CFTC, ASIC, MAS, or similar frameworks.
• Experience with trade lifecycle processes and transaction reporting.
• Familiarity with SQL, Python, Alteryx, Power BI, or data analytics tools.
• Experience working with control frameworks, reconciliations, and data quality processes.
• Understanding of regulatory governance and compliance requirements.

Core Competencies:

• Regulatory and Compliance Awareness
• Risk & Control Mindset
• Analytical Thinking
• Problem Solving
• Stakeholder Management
• Process Improvement & Automation
• Effective Communication
• Accountability & Ownership
• Collaboration & Teamwork
• Adaptability and Continuous Learning

Success Measures:

• Timely and accurate regulatory submissions.
• Reduction in reporting exceptions and control breaches.
• Effective issue investigation and remediation.
• Strong audit and compliance outcomes.
• Successful delivery of process improvement and automation initiatives.
• High-quality stakeholder engagement and governance reporting.