(212) 406-5800

Regulatory Reporting Analyst – New York, NY

– 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
client reporting
 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.