Sr Analyst, Regulatory Report

Bangalore, Karnataka, India
28 Apr 2021
28 May 2021
Contract type
Full time

Working with Us:

As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!

We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.

We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and ethical companies. Build your career with us and apply today.


Northern Trust Asset Management is a multi-asset class investment manager offering a broad range of investment solutions. The primary focus of this role will be to ensure NTAM meets its reporting obligations across multiple regulations and support our regulatory regime, ensuring NTAM is not exposed to reporting failures, risks or financial costs. Functions will include timely and accurate trade/transaction monitoring across multiple vendor platforms, exception management and clearance, account setup, maintenance and data quality validation and review to support relevant reporting processes. Competent analytical and communication skills are required to research and resolve queries and issues recommend process improvements, procedural management and support management information production. Previous experience working in an asset manager/asset servicing role and in implementing process improvements, report writing and procedural documentation is desired. The ideal candidate should have a strong teamwork ethic but be able to work independently in a time sensitive pressured environment as well.

Principal Responsibilities

  • Support the timely and accurate regulatory reporting via various system platforms to support EMIR, MiFID2, SFTR and other regulatory obligations as they arise
  • Working within the function help drive efficiencies in processes, recommending change where relevant to support economies of scale are achieved
  • Help design and implement offshore regulatory reporting function working both within the team and wider function
  • Monitor systems to identify exceptions and working with the London team ensure required amendments are completed
  • Work with Technology and any other relevant teams to ensure data gaps/discrepancies are addressed
  • Identify, support and validate changes required to satisfy any new front office regulatory requirements
  • Prepare and help maintain current, accurate and detailed standalone desktop traceability matrix, procedures/process flows/workflows/checklists to a high standard
  • Keep up-to-date with regulatory changes affecting NTAM reporting regime
  • Daily capture, review and reporting on any in-scope corporate actions required to be reported.
  • Daily review of transactions reported. Investigate any inaccuracies identified and coordinate directly with Technology/Operations teams to resolve
  • Work closely with other NTAM partners in support of the business
  • Ensure the timely and accurate setup of new accounts on relevant regulatory reporting systems coordinating with the relevant onboarding teams
  • Work as part of a local and global team with members based in London, Hong Kong, Chicago and India
  • Responsible for identifying and resolving issues within established procedural guidelines
  • Be risk averse, identify process or business risks and escalate to both London based regulatory reporting team and line manager
  • Support weekly/monthly team meetings, preparing relevant MI packs and agenda/meeting minutes and action and issues logs to evidence good governance and timely escalation of issues.
  • Support the production of appropriate management information and reporting to line manager, functional governance meetings and relevant committees.
  • Timely completion of reconciliations and help support embed and strengthen Quality Assurance oversight model


  • Sustainable performance demonstrated through examples/evidence, the above listed core skills and competencies in the current role as Analyst over a period of 24 months
  • Strong analytical and problem solving skills to resolve and research queries and issues
  • Curious mind with solid ability to manage multiple priorities and cope with moving targets
  • Agile, flexible and adaptable to change
  • Good oral and written communication skills are required
  • Previous industry knowledge with a compliance role background is preferred
  • Technical skills / systems knowledge (e.g. Front Office OMS systems, SharePoint/Business Intelligence, Microsoft Office) is beneficial
  • Good Process and procedure development skills

For further information, and to apply, please visit our website via the “Apply” button below.

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