Regulatory Reporting Associate / Vice President

AQR•Greenwich, CT

10h

About The Position

AQR is a global investment firm built at the intersection of financial theory and practical application. We strive to deliver concrete, long-term results by looking past market noise to identify and isolate the factors that matter most, and by developing ideas that stand up to rigorous testing. By putting theory into practice, we have become a leader in alternative strategies and an innovator in traditional portfolio management since 1998. At AQR, our employees share a common spirit of academic excellence, intellectual honesty and an unwavering commitment to seeking the truth. We’re determined to know what makes financial markets tick – and we’ll ask every question and challenge every assumption. We recognize and respect the power of collaboration, and believe transparency and openness to new ideas leads to innovation. The Compliance group is responsible for designing, implementing, monitoring, and testing AQR’s control environment. It is responsible for ensuring the firm is acting as a responsible fiduciary to our clients. It creates sets of policies and procedures that define how AQR operates its business. It analyzes and visualizes data to monitor the activities of the organization and give advice to other functions. It is also mandated with ensuring AQR complies with all relevant regulatory and industry rules and regulations. We are currently seeking an exceptionally talented individual with five to seven years’ with experience with regulatory reporting, including derivatives transaction reporting, preferably with an investment manager, broker-dealer, or fund administrator, to join our Compliance Department.

Requirements

Five to seven years’ experience with regulatory reporting, including derivatives transaction reporting.
Experience preferably with an investment manager, broker-dealer, or fund administrator.
An undergraduate degree with a focus in Accounting, Finance or Computer Science.
Demonstrated ability to improve processes, create efficiencies.
High proficiency in Excel and Bloomberg.
Knowledge of complex financial derivatives.
Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines with limited supervision and exercise sound judgment.
A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
Well-organized and detail-oriented.
Able to focus on details and their interaction, while keeping in mind the bigger picture.
Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm.

Nice To Haves

Preferred experience with major shareholder / disclosure of interest filings, Section 13, the EU Short Sale Rule, Treasury International Capital (TIC) reports, and/or EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime.
Experience with SQL or Python is a plus.

Responsibilities

Assist in the preparation and submission of all regulatory reports filed on behalf of the firm.
Coordinate collecting and synthesizing data for various daily, weekly, monthly, quarterly, and annual reports to U.S. and foreign regulators and departments, such as the SEC, CFTC, NFA, U.S. Treasury, Bureau of Economic Analysis, as well the UK’s FCA, Germany’s BaFin, Italy’s CONSOB, and various others.
Develop and document internal processes and procedures related to the firm’s various current and future filing obligations.
Keep abreast of global regulatory developments, particularly in the U.S., Asia, and Europe, and apprise other departments and groups of applicable requirements by researching regulatory and filing rules and writing and communicating guidelines and while becoming a part of a strategic solution for process and control modifications within the firm.
Develop and enhance processes to collect and synthesize data to review and reconcile transaction reporting data related to EMIR, SFTR, and Australia’s OTC Derivatives Reporting Regime.