Middle Office, as part of Corporate and Investment Banking Operations, offers an exciting opportunity to support a diverse array of external and internal businesses. This role provides exceptional operational processing capabilities across all asset classes. The Regulatory Controls Team plays a crucial role in the comprehensive implementation of Regulatory Trade Reporting within the Equities Operations Group, ensuring compliance and efficiency in operations.
As a Vice President in the Regulatory Controls Team within Middle Office, you will be responsible for the full end-to-end implementation of Regulatory Trade Reporting in the Equities Operations Group. You will lead remediation initiatives, manage regulatory queries, and represent the team in senior control forums, providing an opportunity to enhance your leadership and analytical skills in a dynamic environment.
Job Responsibilities:
Monitoring existing controls and implementing new controls across various regulations (CFTC, MIFID, EMIR, HKMA, ASIC etc.) for EDG, Prime, and Cash Equities business.Leading remediation initiatives in partnership with the technology team to address reporting data quality issues.Governing and monitoring key regulatory metrics.Improving reporting quality through various completeness and accuracy checks via centrally coordinated controls testing activities.Managing external regulator and internal compliance queries, reviews, and testing.Representing on Senior Control Forums.Escalating issues and errors.Reviewing and signing off on attestations.Analyzing requirements, testing, and conducting post-go-live checks for new regulations, changes to existing regulations, strategic system transformation, migrations, and NBIAs.Managing vendor relationships.Planning budget allocations.
Required qualifications, skills and capabilities
Previous experience in the Financial Services industry with strong understanding of Equity Derivatives products Strong understanding of Dodd Frank CFTC Trade Reporting and EMIR Trade ReportingExcellent Business Analysis skills to drill down the complex Regulatory Reporting requirements for multiple jurisdictionsExcellent problem solving skills in order to identify, understand and address operational and technical issues Strong product knowledge; thorough understanding of the end to end transaction cycle for derivative productsCA/ MBA/graduate with 10 years’ experience in operations.Familiarity with a global bank's process & operational environment including management and external reporting is a must. Strong business knowledge i.e. Investment Banking, including OTC product, process and system knowledge.Skilled in identifying talent, recruiting, coaching, mentoring, and developing team membersSkilled in MS office applications including Outlook, PowerPoint, Excel, Word, Access and ProjectFlexibility for travel to region ( APAC / EMEA / Americas) for period of 2-3 months within short notice in case of business requirements.