Global Regulatory Reporting & Compliance Associate

About the role

You will own the end-to-end preparation and submission of all regulatory reports filed on behalf of the firm across multiple jurisdictions. You will coordinate the collection and synthesis of data for daily, weekly, monthly, quarterly, and annual filings to U.S. and foreign regulators including the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, the UK's FCA, Germany's BaFin, and Italy's CONSOB. You will develop and document internal processes and procedures that define how AQR operates its business and fulfills its reporting obligations. You will keep abreast of global regulatory developments, particularly in the U.S., Asia, and Europe, and communicate applicable requirements to other departments while becoming a part of strategic solutions for process and control modifications. You will analyze and visualize data to monitor organizational activities and advise stakeholders on compliance matters. You will enhance processes to collect and synthesize data specifically for reviewing and reconciling transaction reporting data related to EMIR, SFTR, and Australia's OTC Derivatives Reporting Regime. You will act as a responsible fiduciary ensuring AQR adheres to all relevant regulatory and industry rules and regulations.

Key facts

What you'll do

• Execute the preparation and submission of all regulatory reports filed on behalf of the firm across multiple jurisdictions.
• Coordinate the aggregation, validation, and synthesis of data for daily, weekly, monthly, quarterly, and annual filings to U.S. and foreign regulators.
• Develop and maintain comprehensive documentation of internal processes and procedures related to the firm's current and future filing obligations.
• Monitor global regulatory developments, particularly in the U.S., Asia, and Europe, and communicate new requirements to relevant departments.
• Research and interpret regulatory and filing rules to provide clear guidelines and support strategic process and control modifications.
• Develop and enhance data collection and synthesis processes to review and reconcile transaction reporting data for EMIR, SFTR, and Australia's OTC Derivatives Reporting Regime.
• Analyze and visualize operational data to monitor activities and provide actionable advice to other functions within the firm.
• Serve as a key liaison with regulatory bodies such as the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, the UK's FCA, Germany's BaFin, and Italy's CONSOB.
• Ensure all firm activities comply with relevant regulatory and industry rules and regulations, acting as a responsible fiduciary.
• Collaborate with cross-functional teams to integrate compliance requirements into business processes and controls.
• Utilize advanced proficiency in Excel and Bloomberg to manage, analyze, and report on complex financial data.
• Apply strong knowledge of complex financial derivatives to support accurate reporting and compliance testing.

Requirements

• Hold an undergraduate degree with a focus in Accounting, Finance or Computer Science.
• Demonstrate five to seven years' experience with regulatory reporting, including derivatives transaction reporting, preferably with an investment manager, broker-dealer, or fund administrator.
• Show demonstrated ability to improve processes and create efficiencies in regulatory workflows.
• Exhibit high proficiency in Excel and Bloomberg terminal usage.
• Possess in-depth knowledge of complex financial derivatives and their regulatory implications.
• Have experience with major shareholder / disclosure of interest filings, Section 13 filings, the EU Short Sale Rule, and Treasury International Capital (TIC) reports.
• Show familiarity with EMIR, SFTR, and Australia's OTC Derivatives Reporting Regime.
• Maintain excellent oral and written communication skills to collaborate confidently with senior management and various departments.
• Thrive as a self-starter in a highly intellectual, collaborative environment while juggling multiple tasks and meeting deadlines with limited supervision.
• Pay meticulous attention to detail and understand how individual tasks interact within the broader regulatory landscape.

Nice to have

• Experience with SQL or Python is a plus.

Practical notes

• The role is based in Greenwich, CT.
• Compensation for this role is expected to be in the range of $150,000 to $180,000.