Company Description

As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.

With over 4,400 employees across 51 locations in 25 countries, our people are our advantage. We foster a culture of intellectual curiosity and collaboration to create an environment where everyone can thrive and do their best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business, or providing thoughtful advice to clients, we’re looking for unique voices to help lead us forward. If you’re ready to challenge your limits and build your future, join us.

Job Description Summary

We are seeking a Pune based Regulatory Reporting Analyst to join our EMEA Regulatory Reporting Team in Global Technology & Operations.

Team/Group Description

The Regulatory Reporting Analyst will be a member of the Middle Office Investment Management Operations team, who has ownership of all regulatory reporting responsibilities for EMEA and some selected global legislation. The  Regulatory Reporting is responsible for reviewing and implementing new operational aligned market regulation, daily running of Trade, Transaction and Holdings reporting complying with regulation.

Key job responsibilities include, but are not limited to

• Supervision of daily uploads and failure management of data to repositories and regulators
• In–depth root cause analysis of issues against standard regulatory practice
• Ensure completion of Daily, Monthly and Quarterly reconciliations between AB, Regulator and Repositories 
• Client onboarding management to support regulatory reporting requirements
• Responding to all EMIR /ASIC reporting related client queries
• Completion of Client Requested Attestations & Certifications with respect to ASIC & EMIR
• Collation of KPI Reporting for presentation to the internal Reporting Panel and Senior Management
• Help identify areas for automation/simplification

What makes this role unique or interesting (if applicable)?

EMIR

• Daily production upload to our chosen Transaction Repository (Unavista)
• Problem Management of all Incidents and Errors related to EMIR reporting and subsequent control process enhancements
• Business User Testing of changes to AB’s in-house enterprise EMIR reporting solution and the impact of any upstream data provider systems
• New Client or Fund on-boarding and closing processes, for both in-house and delegated services (including registration with Unavista and DTCC)
• Oversight of any direct client EMIR status reporting
• Ensuring AB’s EMIR reporting remains in compliance with current and future legislation.
• Active participation in EMIR related industry forums, broker seminars and external counsel communications

MIFID

• Perform MIFID Reporting using AB’s own in-house enterprise reporting solution
• Daily production upload to our chosen Transaction Repository (Unavista)
• Problem Management of all Incidents and Errors related to MIFID reporting and subsequent control process enhancements
• Business User Testing of changes to AB’s in-house enterprise MIFID reporting solution and the impact of any upstream data provider systems
• Ensuring AB’s MIFID reporting remains in compliance with current and future legislation
• Active participation in MIFID related industry forums, broker seminars and external counsel communications

ASIC OTC

• Daily production upload to our chosen Transaction Repository (Unavista) and through to the final destination of DTCC
• Problem Management of all Incidents and Errors related to Aus OTC reporting and subsequent control process enhancements
• Business User Testing of changes to AB’s in-house enterprise Aus OTC reporting solution and the impact of any upstream data provider systems
• New Client or Fund on-boarding and closing processes (including registration with Unavista and DTCC)
• Oversight of any direct client Aus OTC status reporting
• Responding to all Aus OTC reporting related client queries
• Ensuring AB’s Aus OTC reporting remains in compliance with current and future legislation
• Active participation in Aus OTC related industry forums, broker seminars and external counsel communications

Professional development value of this role (i.e., what learning and professional growth does the role offer the candidate?)

The Regulatory Reporting team interface with a multitude of other operations functions, PMG, Sales, Compliance & Portfolio Managers, which helps to gain good exposure and knowledge of how the wider firm operates. It also has direct external client exposure, helping to develop critical client-facing skills. These skills and relationships will help to open up potential mobility opportunities in the future.

Job Qualifications (The ideal candidate should have the following)

The candidate must be responsible, highly organized, detail oriented and efficient. Strong interpersonal skills and clear communication skills, both written and oral, are a must. The candidate should also have strong problem solving and analytical skills and the ability to work in a fast-paced, dead-line oriented environment. A strong ability to multi-task, prioritize and manage various projects or tasks at once is also required. The ideal candidate should also be able to independently research and resolve issues.

Qualifications, Experience, Education

• Minimum degree qualified
• Must hold an Industry Recognized Qualification in both EMIR and MIFID Transaction and Trade Reporting
• Minimum of 3 years of experience within the Asset Management, Banking or other financial services related business.
• Knowledge of Regulatory Reporting obligations
• Must have in depth understanding of EMIR and MIFID from Regulation to field population
• Equity, Fixed Income and derivative security knowledge preferred
• Strong working knowledge of Microsoft Office
• Strong organizational and planning skills.
• Must be pro-active, flexible, and a problem solver.
• Must be highly professional interacting with several departments within the company.
• Must be a team player.

Skills

• The candidate should have a working knowledge of the Microsoft Office suite of products (particularly Excel, Word, and Power Point).

Special Knowledge (if applicable)

•  EMIR, MIFID and ASIC OTC reporting

Pune, India