Regulatory Reporting Associate

Regulatory Reporting Associate

The Regulatory Reporting Associate will be part of the Operational Controls team performing various reconciliations and ensuring accuracy of books and records. The anticipated start date for this role is October 2026.

Role Responsibilities

• Perform daily/monthly transaction reporting reconciliation
• Coordinate with Settlements & Compliance to ensure all exceptions are classified & closed in a timely manner
• Identify recurring themes within the daily exceptions & escalate these issues to management for review, when necessary.
• Perform various BAU tasks directly related to transaction/regulatory reporting operations
• Create & maintain a book of reports & metrics
• Cross train & assist the Operational Controls (Ops Rec) team with BAU tasks such as P&L Reporting & reconciliation
• Pro-active participation and coordination of all audit requests (internal & external). Participate in walk throughs and deliver accurate and complete support. Organize and review all documents requested for all Regulatory meetings and/or exams
• Partner with IT and Business Units in evaluating, recommending, testing and user acceptance of new technologies by contributing thoughts, ideas and recommendations to strategic plans
• Promote automation efficiencies throughout the organization which will lead to an increased level of control, enhance accuracy and timing of processes in addition to reducing operating costs
• Ensuring departmental Policy & Procedure documentation is kept updated
• Contribute to implementation of new projects, processes and systems

Experience / Competences

Essential

• Excellent Excel skills
• Strong written and oral communication skills
• Independent, self-motivated, with ability to adapt and be flexible in a team environment
• Strong analytical, prioritization and organizational skills
• Ability to directly address conflicts and escalate issues where appropriate
• Ability to work under pressure and to fixed deadlines
• Multi-tasker who can manage multiple streams of work concurrent

Desired

• Strong interpersonal skills and ability to build cross-functional relationships
• Product knowledge (equities, fixed income, foreign exchange, international) including the booking and life cycle of these transactions
• Knowledge of VBA/macros is a plus
• Risk and controls awareness.

Role Band & Level

• Professional, 5

Not The Perfect Fit?

Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply.

You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.

Company Statement

We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.

Location

USA - 9931 Corporate Campus Drive - Louisville, KY