Global Regulatory Operations is responsible for validating, monitoring and performing regulatory reporting for the Institutional Clients Group businesses.

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. Team also handles China QFII reporting, Stock Connect Quarterly Return, SFC Report for Client Short Position reporting, and HKMA Southbound Bond Connect report.

The primary responsibilities for the role are as follows:

● Ensure completeness, accuracy and timely preparation of the monthly and daily reports submitted to multiple Regulators across the APAC region.

● Establish controls for monitoring regulatory reports such as reconciliations, validation checks and variance analysis.

● Serve as a subject matter expert and central point of contact for regulatory advice and interact with Business, Legal and Compliance as needed to provide responses 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 Business, Operations, Technology, Compliance and Legal.

● Responsible front to back testing of business and regulatory change, ensure that the results are documented and presented for sign off by the supervisor.

● Automation and Change Management for on-boarding of new reports into the APAC ORC Group.

● Provide oversight and governance for O&T regulatory reports to comply with policy requirements.

Experience and Qualifications:

• Bachelor’s/University degree or equivalent experience.
• 8-10 years of experience.
• Knowledge and understanding of Banking operations.
• Working experience in Regulatory Reporting will be an added advantage.
• Knowledge of institutional and regulatory Operations and Technology policies and risk.
• Highly proficient in MS Office – (Excel, Access, PowerPoint)  and database management.

Attributes:

• Highly detail oriented, exceptional analytical skills and effective team player with ability to build and maintain relationships.
• Demonstrated ability to effectively voice and defend independent views and handle conflict.
• Strong verbal and written communication skills in English for interaction with senior management and regulators.
• Ability to effectively navigate organizational complexity, break silos and build partnerships across functional and business peers.
• Identifies and assesses alternatives as part of the decision-making and escalation processes.
• Ability to adapt and perform well under pressure and through rapidly developing situations, multi-task and prioritize to meet deadlines.