Job Description

A brief description of the department:

Operations Regulatory Control (ORC) is a global team responsible for the delivery and oversight of complex, cross jurisdictional, cross business regulatory reporting (e.g., CAT, MIFID II, EMIR, 15c3-3, CFTC Part 43/45, SEBI ODI).

The team's core functions are reporting, change management, quality assurance, client segregation, firm balancing and regulatory engagement.

APAC group is currently responsible for the oversight and performance of regulatory reporting for SEBI ODI, and Short Position Reporting for Hong Kong, Singapore, Korea and Thailand markets

We partner closely with Technology, Compliance, Legal, Operations, Risk & Controls and our lines of business to interpret, analyze , deliver complete and accurate reporting solutions. Our regulators include but are not limited to SEC, FINRA, CFTC, NFA, Banxico, FCA, ESMA, ASIC, HKMA, MAS and SFC.

The Senior Vice President will be a member of the ORC management team reporting to the Global Head of Operations Regulatory Control.

Responsibilities:

Responsible for the completeness, accuracy and timely preparation of the monthly and daily reports submitted to multiple regulators/exchanges across the APAC region.

Work with Technology to establish automated controls for monitoring regulatory reports to ensure completeness and accuracy of reporting.

Serve as a subject matter expert and central point of contact for regulatory advice and interact with Legal and Compliance when responding to regulatory inquiries.

Mitigate, manage, escalate, track and ensure resolution on issues that pose operational regulatory risk to the firm.

Develop and maintain effective partnerships with all stakeholders on regulatory related issues.

Implement changes to reporting process based on new or changing regulations in conjunction with Operations, Technology, Compliance, Legal and the Business.

Lead the front to back testing of business and regulatory change, ensure that the results are documented and presented for sign off by the business. Understand and assess all upstream changes and their impact on covered Regulatory Reporting.

Work with seniors in the APAC region to identify viable regulatory reporting within ICG Operations that can be centralized in Operations Regulatory Control.

Develop members of the team to become the future leaders of the organization.

Qualifications and Skill Set:

15+ years of financial industry work experience in Operations, Finance , Middle Office or Business Controls with an in depth understanding of financial products. Operations Regulatory reporting experience will be considered favorably.

Strong work ethic and highly motivated individual with outstanding record of professional achievement.

Attention to detail, strong written and oral communication skills

Proactive in identifying, escalating and resolving potential issues

Strong control and Compliance focus. Candidates who have worked in regulatory interface functions would have an added advantage.

Material experience with operational risk disciplines; processes, risks and controls.

Strong leadership, interpersonal skills and project management skills

Demonstrated ability to thrive in meeting Regulatory and Compliance requirements would have an added advantage.

Understanding of trade lifecycle would be a plus

Job Family Group:
Risk Management

Job Family:
Operational Risk

Time Type:
Full time

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