Cib - Regulatory Controls

3 weeks ago

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

**Process Overview**

Middle Office, as part of CIB Operations, provides support to a wide range of external and internal businesses. It also provides the best-in-class operational processing capabilities across all asset classes.
The Regulatory Controls Team is responsible for the full end to end implementation of the Regulatory Trade Reporting in Equity Cash, Global Credit, Rates and Equities Derivative Group.

**Product Coverage**

Equity Cash, Derivatives, Credit Default Swaps, equity swaps, interest rate swaps and other structured derivative products.

**Roles & Responsibilities**

- New regulatory reporting implementation & on going remediation
- Understand the regulatory requirements working with Legal / Compliance / Industry (ISDA/Equities industry groups/DTCC etc) & internal stakeholders
- Establish the end to end control processes.
- Review & improve the end to end control process around the Regulatory Reporting agenda in Credit / Rates / Equities.
- Establish a strategic attestation process on Regulatory reporting for the jurisdictions already implemented to the business
- Come up with process and system enhancement recommendations
- Responsible for regulatory reporting break management and working with technology to resolve it
- Understand the regulatory reporting requirements by partnering with GRRC, Technology and other internal stakeholders
- Perform root cause analysis on internal and external breaks
- Perform impact analysis on issues and prioritize fixes with various Technology teams for RTS22 report
- Highlight gaps/enhancements in existing control framework
- 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
- Work with business and Technology group to prioritize the requirements by presenting the business case
- Perform cost benefit analysis to propose optimum future process to the business
- Ultimately, successfully deliver controlled environment of Regulatory Reporting

**V. Qualifications / Experience / Knowledge**:
**Skill sets Required**
- Previous experience in the Financial Services industry with strong understanding of Credit / Rates / Equity Cash & Derivatives products
- Strong understanding of MIFID, Dodd Frank CFTC Trade Reporting and EMIR Trade Reporting
- Strong understanding of Cash Equities and Securitized Derivatives products
- Strong communication skills, both written and verbal, including the ability to develop relationships across the various stakeholders including Senior Business executives
- A self motivated individual who is able to deliver with mínimal supervision, whilst also working effectively as part of a team
- Strong product knowledge; thorough understanding of the end to end transaction cycle for derivative products
- Control mindset to identify process control gaps, prioritize & mitigate operational risk
- Excellent time management skill and ability to prioritize work effectively
- Proactive in problem solving and developing solutions.
- Ability to respond to a changing environment.
- Be innovative and suggest system improvement capabilities.
- Ability to multi task, ensuring the controls are performed correctly, breaks are resolved and MIS being sent to managers on deadlines.
- Positive "Can Do" attitude
- Contributes to an environment of collaboration and mutual responsibility
- Good understanding of downstream impact of actions undertaken, particularly the requirement for strong and timely controls throughout the life cycle of the trade
- Ability to motivate people and manage careers.
- Ability to influence team and provide a vision.
- Effective stake-holder management
- 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
- 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
- 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

**Other Requements**:
**Min Required Qualifications / Experience
- Graduate with 8+ years of experience, with alteast 5+ years in an investment banking environment, preferably in Middle Office / Trade Support
- Degree holder in Finance / Economics or other related disciplines (preferable)
- Strong proficiency in MS Office.

**Shift Timings
- Primary Coverage
- 12.00 pm to 9.00 pm IST. Cross regional coverage to be provided. Ability to work stretch hours in case of business requirement.

**Travel.**
- Flexibility for travel to

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