Regulatory Reporting Associate

ICAP•Louisville, KY

1d•Hybrid

About The Position

The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform. Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist. The Regulatory Reporting Associate will be part of the Operational Controls team performing various reconciliations and ensuring accuracy of books and records.

Requirements

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

Nice To Haves

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.

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 (OpsRec) 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