– Taking on key role within Operations Regulatory Reporting team to ensure execution & compliance of
Firm Regulatory Reporting obligations.
– Working with Legal / Compliance / Business / Technology / Finance as well as outside vendor groups to
collect, analyze specific regulatory related project requirements across multiple business lines and regions
– Day-to-day support of new/ongoing Regulatory Reporting processes, liaising with Legal/Compliance,
Business and Support and Control groups to ensure compliance with regulatory requirements
– Assist in any other mandatory regulatory projects such as AIFMD, Form PF, TIC filings, etc. being
flexible with regards to multiple deadlines and projects and adapt quickly in a fluid environment.
– Develop and maintain policies and procedures, including the designing and documenting of process
flows, business requirements, projects plans, etc.
– Business intelligence analysis / data analysis
– Own project documentation, including project plan / milestones, business requirements, process flow
diagrams and management / project status reporting for any new initiatives / technical developments
impacting the team
Coordinate the production process and troubleshoot monthly, quarterly, and ad-hoc client reports
Review data integrity of client reports
Utilize multiple sources to verify transaction details, investigate timing of transaction activity,
payment of dividends and account holdings attributes.
o Perform some account performance reconciliation on assigned client account ranges for accounts.
o Analyze performance return discrepancies related to account reconciliation and booking of
account transaction activity
Day-to-day liaising with IT, Operations, Legal, and Business Units in resolving any issues with
Develop and maintain policies and procedures, including the designing and documenting of
process flows across multiple functions pertaining to client reporting
Knowledge of a broad spectrum of security types including Municipals, Government issues,
Equities, Options, Derivatives and Alternative Investments
Participate in end user and parallel testing modes for a variety of client reports.