Controllers ensure that the firm meets all the financial control and reporting obligations of a global, regulated, and public financial institution. Our professionals measure the profitability of, and risks associated with, every aspect of the firm''s business. Controllers also ensure that the firm''s activities are conducted in compliance with the regulations governing transactions in the financial markets.
Our Impact
The Asset & Wealth Management Regulatory Controllers (AWM-RC) team is responsible for helping AWM meet its global regulatory reporting obligations while navigating an evolving regulatory landscape. We partner closely with portfolio managers, COOs, Legal, Compliance, Risk, Operations, Engineering, and Finance to interpret regulatory requirements, implement change, and maintain a robust reporting and control framework.
AWM-RC oversees regulatory reporting across a broad range of global regimes, including SEC, CFTC, Volcker, AIFMD, UCITS, CSSF, and other jurisdiction-specific requirements. We support new fund launches, acquisitions, business initiatives, and strategic technology transformations to ensure regulatory compliance is embedded into the firm''s operating model.
Leveraging deep expertise across asset classes, products, data, and risk management, the team establishes regulatory reporting policies, governs data and reporting standards, oversees external reporting vendors, and performs final review and submission of regulatory filings. Our work spans complex regulatory calculations, including derivatives exposure, counterparty risk, liquidity, leverage, and portfolio risk metrics.
Your Impact
As a member of AWM-RC, you will play a key role in ensuring the accuracy, completeness, and integrity of AWM''s global regulatory reporting program while helping shape the future state of our data, reporting, and control architecture.
Key responsibilities include:
- Drive the preparation, review, and submission of regulatory filings to global regulators while identifying opportunities to improve efficiency, controls, and scalability.
- Partner with internal stakeholders and external vendors to oversee data sourcing, quality, and production of regulatory reports.
- Serve as a subject matter expert for assigned regulations, business areas, and datasets, building strong relationships with portfolio managers, COOs, Legal, Compliance, Risk, Operations, and Engineering.
- Lead the investigation and resolution of data quality issues, driving remediation at source and enhancing data governance practices.
- Support the design, testing, and implementation of strategic technology solutions and reporting infrastructure.
- Identify opportunities to streamline regulatory reporting processes through self-service solutions and the effective use of artificial intelligence.
- Partner with portfolio managers, quantitative strategists, and engineering teams to implement complex reporting methodologies and portfolio risk calculations.
- Analyze new and evolving regulatory requirements, provide recommendations on regulatory interpretations and policy positions, and support implementation across the organization.
- Communicate effectively with senior management, influence stakeholders, build consensus, escalate key risks, and drive strategic initiatives across businesses and divisions.
Basic Qualifications
- Bachelor''s degree required.
- 4+ years of relevant experience in asset management, regulatory reporting, fund accounting, fund control, product control, compliance, or related functions.
- CFA, CPA, MBA, or other relevant professional qualification preferred.
Preferred Competencies
- Strong knowledge of financial products, markets, and investment strategies across asset classes.
- Understanding of regulatory reporting, asset management operations, and risk management frameworks.
- Experience working with data, technology, and transformation initiatives.
- Interest in global regulatory developments and their impact on investment management businesses.
- Strong analytical, problem-solving, and research skills.
- Excellent written and verbal communication skills with the ability to influence senior stakeholders.
- Proven ability to work independently while collaborating effectively across diverse teams.
- Strong project management, prioritization, and execution skills.
- Detail-oriented with a strong control and risk management mindset.
- Ability to drive change, challenge existing processes, and deliver scalable solutions.