Regulatory Reporting Associate

Tp Icap; Louisville (KY); On-site; USD 60,000 - 90,000; Full time

Job summary

TP ICAP, Louisville, KY, seeks a Regulatory Reporting Associate to join the Operational Controls team. You will perform daily/monthly transaction reporting reconciliations and help ensure accuracy of books and records, while collaborating with Settlements, Compliance, and IT.

The role emphasizes proactive identification of issues, development of reporting metrics, and support for audits. Strong Excel, communication, and multi-tasking skills are essential.

Qualifications

• Excellent Excel skills.
• Strong written and oral communication skills.
• Independent, self-motivated, with ability to adapt and be flexible in a team environment.
• Strong analytical, prioritization and organizational skills.
• Ability to work under pressure and to fixed deadlines.
• Multi-tasking across multiple streams of work.

Responsibilities

• Perform daily/monthly transaction reporting reconciliation.
• Coordinate with Settlements & Compliance to classify and close exceptions in a timely manner.
• Identify recurring themes within daily exceptions and elevate issues to management for review.
• Perform BAU tasks related to transaction/regulatory reporting operations.
• Create & maintain a book of reports & metrics.
• Cross-train with OpsRec team on P&L Reporting & reconciliation.
• Support audit requests (internal & external).
• Organize documents for regulatory meetings/exams.
• Collaborate with IT and business units on new technologies and controls.

Skills

Excellent Excel skills

Strong written and oral communication

Independent, self-motivated

Strong analytical and organizational

Ability to work under pressure

Multi-tasking

Tools

VBA/macros

Job description

Group Overview

The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior liquidity and data solutions. The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform. Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.

Role Overview

The Regulatory Reporting Associate will be part of the Operational Controls team performing various reconciliations and ensuring accuracy of books and records. The anticipated start date for this role is October 2026.

Role Responsibilities

• Perform daily/monthly transaction reporting reconciliation
• Coordinate with Settlements & Compliance to ensure all exceptions are classified & closed in a timely manner
• Identify recurring themes within the daily exceptions & elevate issues to management for review, when necessary.
• Perform various BAU tasks directly related to transaction/regulatory reporting operations
• Create & maintain a book of reports & metrics
• Cross train & assist the Operational Controls (OpsRec) team with BAU tasks such as P&L Reporting & reconciliation
• Pro-active participation and coordination of all audit requests (internal & external).
• Participate in walk throughs and deliver accurate and complete support.
• Organize and review all documents requested for all Regulatory meetings and/or exams
• Partner with IT and Business Units in evaluating, recommending, testing and user acceptance of new technologies by contributing thoughts, ideas and recommendations to strategic plans
• Promote automation efficiencies throughout the organization which will lead to an increased level of control, enhance accuracy and timing of processes in addition to reducing operating costs
• Ensuring departmental Policy & Procedure documentation is kept updated
• Contribute to implementation of new projects, processes and systems

Experience / Competences

• Excellent Excel skills
• Strong written and oral communication skills
• Independent, self-motivated, with ability to adapt and be flexible in a team environment
• Strong analytical, prioritization and organizational skills
• Ability to directly address conflicts and eliminate issues where appropriate
• Ability to work under pressure and to fixed deadlines
• Multi-tasker who can manage multiple streams of work concurrent

Desired

• Strong interpersonal skills and ability to build cross-functional relationships
• Product knowledge (equities, fixed income, foreign exchange, international) including the booking and life cycle of these transactions
• Knowledge of VBA/macros is a plus
• Risk and controls awareness.

Role Band & Level Professional, 5 #LI-Hybrid #LI-ASO

Not The Perfect Fit

At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background.

Company Statement

We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.

Location

Location USA - 9931 Corporate Campus Drive - Louisville, KY

Connecting clients, communities and colleagues for sustainable growth

TP ICAP connects people, platforms, ideas, and insight across the world’s financial, energy and commodities markets. As a global leader in market infrastructure and data-led solutions, we enhance market access, increase efficiencies, and unlock possibilities.

Work with us

Joining TP ICAP puts you at the heart of markets that matter. You’ll have the freedom to innovate and act on your initiative. We’ll train you and build your abilities in your specialist area, so that you can become an expert in your field. And all within a connected network that’s there to set you up for success.

More about us

TP ICAP Group is a collection of premium brands each with a distinct, client-focused offering. Underpinning and connecting these client-facing brands is the financial security, operational strength and know-how we have as a Group. Connections are at the heart of what we do. We combine our people’s know-how with the latest technology to improve price discovery, trade execution and liquidity flow. Connections create strength. Through them, we help our clients to manage risk, realise investment strategies and expand the scope for growth. And connections act as a catalyst. Sparking richer solutions for our clients to break new ground, modernising markets for future performance, and creating dynamic careers for our people. Our capacity to connect builds trust, supports communities and gives us the power to anticipate and respond to change, whatever direction the world takes. It’s what makes TPICAP a mainstay in the global markets, now and in the future. TP ICAP. We connect.