Associate, US Regulatory Services

About the role

The Associate in US Regulatory Services will support the timely and accurate reporting of a variety of regulatory filings to exchanges, self‑regulatory organizations and the SEC. You will work closely with business groups, compliance, legal, finance and technology teams to ensure reporting quality and to address regulatory inquiries.

Key responsibilities

• Execute day‑to‑day regulatory reporting for assigned reports (e.g., CAT, CAIS, SEC 13DGH, TRACE, EBS, LOPR).
• Serve as final reviewer for submissions and act as escalation point for junior staff on complex issues.
• Develop and implement controls to guarantee timeliness, accuracy and completeness of reporting.
• Prioritize and resolve reporting anomalies, including requirement development.
• Prepare presentations for stakeholders highlighting metrics and achievements.
• Assist with impact assessments of system or business changes.
• Document, revise and maintain procedures; train team members on updated processes.
• Potentially manage a small team or act as functional subject‑matter expert on projects.

Required profile

• Bachelor’s degree or equivalent, preferably in Engineering, Business or a related field.
• Understanding of financial products such as equities, listed derivatives, fixed income and OTC derivatives.
• Strong grasp of the trade life‑cycle (orders, executions, allocations, etc.).

Required skills

What we offer

• Opportunity to work on a wide range of regulatory reporting frameworks.
• Collaboration with cross‑functional teams across the firm.
• Exposure to continuous process‑improvement initiatives.