Cib - Cash Equities Regulatory Reporting Controls

2 months ago

Mumbai, India JPMorgan Chase Bank, N.A. Full time

**Description**:
The Cash Equities Regulatory Reporting Team is responsible for on time and accurate submission of various reports as required under the MIFID II, FINMA, AWV and Depostatistik regulations.

**Responsibilities**:

- Responsible for regulatory reporting break management and ongoing remediation
- Understand the regulatory reporting requirements by partnering with GRRC, Technology and other internal stakeholders
- Perform root cause analysis on internal and external breaks
- Investigate reason for latency and resolve rejections on MiFID II RTS1 and FINMA RTS2 reports
- Responsible for reduction in overall open breaks on MiFID II Transaction Report (RTS22) and FINMA RTS22 reports
- Perform impact analysis on issues and prioritize fixes with various Technology teams for RTS22 report
- Update SOP and resolution matrix in line with change in procedures or new issues discovered
- Highlight gaps/enhancements in existing control framework
- Investigate and remediate breaks on Z4, Z10 and Z11 reports as part of AWV German Regulation (Foreign Payment Ordinance Report) and ensure timely submission to Bundesbank on a monthly basis
- Investigate and remediate breaks and ensure accurate submission of month end position snapshot reporting as part of Depostatistik German Regulation
- Investigate transactions already submitted to Regulators containing any anomalies and work with GRRC, Business Manager, Technology and Change Management team for identifying fixes and follow through until remediation
- Ensure time-to-time up-skilling on additional controls introduced as part of overall control framework
- Ensure all controls and checks are completed by the end of day

**Pre-requisites**:
This role requires a wide variety of strengths and capabilities, including:

- Strong understanding of Cash Equities and Securitized Derivatives products
- Strong understanding of MiFID II, FINMA, AWV and Depostatistik Regulations
- Excellent business analysis skills to drill down the complex regulatory reporting requirements for multiple jurisdictions
- Excellent problem solving skills in order to identify, understand, and address operational and technical issues
- Strong communication skills, both written and verbal, including the ability to develop relationships across the various stakeholders including Senior Business executives
- Self-motivated and ability to deliver with mínimal supervision
- Understanding of the end-to-end data remediation process
- Ability to work in a high pressure environment with time-critical deliveries
- Control mind-set to identify process control gaps, prioritize, and mitigate operational risk
- Effective stakeholder management
- Experience with investment banking environment is a must, preferably in Regulatory Reporting for above jurisdictions
- Strong ability to perform analysis on large data-sets
- Bachelor's degree, Finance / Economics or other related disciplines is preferred
- Strong proficiency in Microsoft Office especially, Excel

Job location: Mumbai

Shifts - EMEA (1.30pm to 10.30pm)

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

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