Regulatory Reporting, AVP

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Job Identification Number: 74

Location: New York, NY

Job Type: Direct Hire

Job Category: Financial Services

Qualified candidates, please attach resume when applying.


Our client, a leading investment firm, is seeking an Assistant Vice President to join their compliance team. The team is responsible for supporting the firms’ compliance with the relevant regulatory reporting requirements and investment restrictions/limits in all applicable jurisdictions.

Primary Responsibilities:

  • Understand regulatory requirements across global markets and the impact on the reporting requirements for the firm.
  • Code restrictions in compliance system and monitor alerts.
  • Work with traders and portfolio managers to advise on regulatory/trading restrictions and requirements.
  • Keep abreast of global regulatory and trading restrictions. 

Qualifications and Requirements

  • Bachelor's degree.
  • Experience working within a global organization and collaborating with teams across different time zones.
  • Experience working within tight deadlines and in a fast paced environment.
  • Strong communication, strategic thinking, and leadership skills.
  • Strong understanding of regulatory reporting and investment monitoring requirements.
  • Prior experience in trading operations a plus.
  • Understanding of all asset classes and investment products.
  • 10+ years of relevant experience at an asset management firm.