Avp- Gmo Regulatory Reporting

3 weeks ago

Mumbai, India Riverforest Connections Full time

Position Purpose

The main purpose of the team is to ensure timely, consistent and exhaustive transaction & positions regulatory reporting under APAC jurisdictions, such as HKMA, MAS, ASIC, SEBI etc for both Equities and Fixed Income products. The team is also the single point for regional Operations on new Regulatory initiatives.

The purpose of the position is to achieve the team?s goal through daily routine control measure and contribute to implementation of new control framework in order to minimize operational risk and comply with the regulatory requirements.

**Responsibilities**

**Direct Responsibilities**
- Setup procedures and controls to minimize the operational risk on regulatory reporting.
- Enhance existing controls to streamline existing process and improve control efficiency and accuracy.
- Work closely with senior managements & workforce to facilitate and drive the regulatory report controls framework towards the target model.
- Prepare data for specific surveys requested by Central banks and regulators.
- Drive periodical review with different internal stakeholders for the key operations processes in related to regulatory reports per local regulatory requirements e.g. SEBI, SPR etc
- Prepare & coordinate regular meetings in providing regular updates to ITO management, Compliance, Business, IT on the status of the different initiatives.
- Collect accurate & correct information & update senor for any adhoc queries received from regulatory / compliance.
- Define test cases, validate user testing and follow up with IT on new releases for upcoming regulatory projects
- Assist to manage the reporting teams, provide closely interaction & governance to local operations team to ensure regulatory reporting process are well performed & issues are escalated on time.
- Provide estimations & manage expectations from Business, compliance as per team resources & constraints.

**Contributing Responsibilities**
- Participate in industry working groups and conferences to be well aware of the latest development and ensure that our setup is robust
- Review and propose improvements on the reporting currently managed by other departments on ad hoc basis to ensure the process is in line with the regional standard

**Technical & Behavioral Competencies**
- Strong communication skills in managing & liaising with business/compliance on new requirements.
- Good knowledge of Financial Products including but not limited to Equity/Index derivatives, Fixed income products and OTC trade reporting requirements
- Knowledge in Front to Back workflows and product event management is a plus
- Strong knowledge on Data Managing tools (Alteryx, Python), Excel skill, automation or script writing (e.g. VBA) is a plus.
- Strong sense of compliance and risk control
- Attention to detail and accuracy imperative
- Leadership mindset & strong project management skills to coordinate with different front to back units in facilitating periodical certification / survey for regulatory

**Skills Required**:
Regulatory Reporting;HKMA;ASIC;MAS;MiFID;ESMA;Trade Support;Derivatives

**Location**

Chennai / Mumbai (All Areas)

**Years Of Experience**

10 to 16 Years

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