US Regulatory Reporting Senior

 EY Comply: Position: Senior

IMP = Exp in Preparation to Submission any of this Forms with US REGULATROY REPORTING Form PF, CPO-PQR, TIC, BEA, Form ADV, N-PORT, N-CEN.

The Opportunity

We are looking for a skilled Regulatory Reporting Professional to drive end-to-end delivery of regulatory reporting solutions and reporting transformation initiatives. This role offers the opportunity to work closely with global stakeholders to design, implement, and optimise regulatory reporting processes, ensuring compliance with evolving regulatory requirements while enhancing data quality, controls, and operational efficiency across reporting frameworks.

Your Key Responsibilities

• Work as senior on multiple workstreams or clients as a part of Regulatory Reporting BAU/Production team. 
• Interact with stakeholders (client and other third parties such as fund administrators) on matters related to data and production.
• Facilitate and encourage the necessary conversations between the Business and Technology to determine the what and the how of the product features.
• Prepare and review the workpapers needed for filing the forms/reports with 100% accuracy.
• Work independently with minimum supervision.
• Provide technical guidance to the team as well as clients as needed.
• The role is deadline oriented and may require working under US time schedule.
• Be involved in project management as needed.
• Mentor, train and inspire staff to meet the project objectives.
• Proactively develop and impart training on new onboarded or upcoming initiatives for team members.
• Work with Technology and US team in identifying process improvement areas and bring in the culture of automation.
• Drive process optimization, automation, and standardization initiatives to improve operational efficiency and scalability.
• Al fluency - Demonstrates broad knowledge of AI trends, opportunities, and risks within operations. Supports the implementation of AI driven process improvements, encourages responsible AI adoption within the team, and contributes to efficiency and continuous improvement initiatives.
• Foster a culture of accountability, collaboration, continuous improvement, and operational excellence.
• Responsible for decision-making, optimizing processes, resource management, and overseeing team management as needed for task execution.
• Accountable for allocating personnel, supervising team members, assigning tasks, ensuring that the team has the necessary tools and support to succeed in their roles and optimizing and evaluating their performance to meet organizational goals.

Skills and attributes for success

• 4 – 6 years of experience with at least 2 - 3 years of senior experience in BCM or WAM industry, Exposure to US based asset management or fund administration firm will be an addon.
• Clear communication skills, both written and verbal
• Master’s degree in accounting or finance mandatory. MBA or CA will be good to have. 
• Experience with Regulatory Reporting, Validations, Reconciliations, General Adjustment processes would be a plus.
• General understanding of US GAAP, mutual fund regulatory is a plus.
• Should be versatile and have a good understanding of working with Technology platforms/frameworks/tools.
• Actively participate in the selection of new regulatory tools/frameworks and methodologies. Recommend and assist in its implementation.
• Fair understanding of Technology/Framework and Data systems across the WAM sector.
• Functional knowledge: Good knowledge and understanding of WAM domain and deep knowledge of capital market OTC derivative products (Equity, Commodities, Currencies, Rates, Cash and Credit).
• Knowing Risk function deliverables like Key Risks & Controls and the testing thereof.
• Thorough understanding of different product taxonomies in Regulatory Reporting.
• Understanding BRD would be an added advantage.
• Experience with 1 or more relevant Regulatory Reporting platform.
• Exposure to Python or R tool-based analytics.
• The candidate must be a highly motivated individual who can handle all levels of complexity in the respective area of operation.
• Should pay attention to detail, proficient in MS applications (Word, Excel, Power Point), excellent analytical skills and must display effective interaction capabilities with various stakeholders.
• The applicant must be comfortable functioning in a fast-paced environment driven by deadlines.
• Fair knowledge of Capital market instruments.
• US Visa ready is preferred
• Demonstrates ownership, accountability, sound judgment, and a continuous improvement mindset.