US Regulatory Reporting Analyst

Describe the role:

This is a key role providing support to our Legal and Compliance team that the candidate would need to understand basic security reference data details which includes the security, issuer, exchange and industry domains. At the same time, the employee must be able to review the various Compliance alerts and issues tied to these underlying data elements. There are both daily tasks which involve data and alert reviews as well as IT projects with global Compliance Analysts and AXA counterparts where one must be able to communicate clearly and confidently in order to drive solutions.  This role also includes work on department wide projects and initiatives.

Describe the applications and business or enterprise functions the role supports:

This role supports Compliance while also being a liaison between operations and IT. The applications used are Apex, SPINTL / KM, RRS, ACE and Bloomberg.

The key job responsibilities include, but are not limited to:

·  Learn Regulatory Reporting System, “RRS”, and ensure that daily alerts are actioned appropriately. Liaise with Compliance teams in the US, UK, and Asia as necessary to review potential regulatory shareholding disclosure filings.

·  Work with Manager to learn the following within with RRS system:

Review of daily global filings and reconciliation to AB holdings data as needed

Review of quarterly U.S. 13F and monthly / annual 13G filings

Complete disclosures as needed and submit to relevant parties, including electronic submissions to Edgar for US filings

·  As the department’s responsibilities grow, assist in analysis and creation of additional regulatory reports as needed.

·  Participate in various projects related to RDMS and Regulatory Reporting as needed. These may include Position Limits Monitoring, HK and AU Short Reporting, Daily Restricted List Reengineering, and CADIS Equity Automation.

·  Participate in User Acceptance Testing as necessary related to system enhancements.

·  Ensure that departmental policies and procedures are up to date.

·  Assist RDMS management on department initiatives and projects.

Job Qualifications (The ideal candidate should have the following):

Qualifications, Experience, Education:

·  4-year undergraduate degree, preferably in business related discipline.

·  2 years of work experience in a function that has some financial related analysis.

·  Previous role/internships working in financial services.

·  A keen interest in learning and improving financial operations.

·  Understanding of Regulatory Reporting or Security Reference data

·  Capital Markets.

·  Excellent communication skills.

Skills:

·  Strong knowledge of Microsoft Office, specifically MS Excel tools and functions.

·  Exceptional attentional to detail.

·  Communicate effectively, work well in a team setting, and be able to effectively handle changes with a positive outlook.

·  Motivated and self-disciplined with a strong work ethic and the ability to work independently to meet deadlines.

·  Excellent communication skills.