Assistant Manager/Manager - US Regulatory Reporting Support

Position Purpose

• Perform independent controls in order to strengthen the regulatory reporting control frameworkPerform day-to-day controls on the regulatory reports prior to submission or post submission.Perform reconciliation of Regulatory Reports vis a vis source data / other reports and analyze all resulting breaks.Communicate breaks to the concerned teams for resolution.Follow-up with concerned teams till the resolution of communicated breaks.

Main drivers are client service quality, independent control, operational risk safety and cost efficiency.

APAC/General shift working hours need to be followed.

Responsibilities

Direct Responsibilities

• Various ITO team in Asia will send regulatory reports to ISPL Team.Various controls will have to be performed on these reports (in a given timeline/cut-off time)Each report will have a defined set of controls which could include :

1. Variation compared to previous reportConsistency check across the report (or compared to another report which include same or similar data)Reconciliation with another source of Data

• Depending on the breaks, communicate with the ITO team responsible for the data to investigate the breaks.Oncebreaks are resolved or cleared , provide greenlight for submissionKeep track of all breaks in order to report KPI of daily/weekly activitiesAny delay in the control process need to be reported to the concerned ITO team.

Technical & Behavioral Competencies

Skills and competencies

Mandatory - Attention to detail: Ability to ring the bell for any abnormal trade pattern and escalate in timely manner

Mandatory - Analytical mindset: Aptitude to understand the Front to Back workflows and handle exceptional issues with logical mindsets to communicate with Front Office

Mandatory - Escalation & Reporting process: Internal rules of reporting and escalation to Ops and Front Office need to be known & applied. The team member also needs to report any sensitive information/issues and escalate immediately to management.

Mandatory - Self-discipline & autonomy: Have a constant delivery on time mindset, both on the daily production and on the projects handled. Ability to work on its own with little supervision.

Analytical mindset: Aptitude to understand the F2B workflows and handle exceptional issues with logical mindsets to communicate with Front Office

Organized & good resistance to stress:This is a much faced paced dynamic environment; therefore excellent time management and good positive resistance to stress are compulsory.

Innovation and initiatives (Think outside the box): Demonstrate willingness to constantly improve the status quo. Understand well the processes in place and evaluate if needed, alternative options to do things better with a cost - benefits / ROI approach.

Adaptability & Change Management: Ability to easily adapt to new situations (new booking systems, new products, new activities to manage) as this is a constant changing environment

Strong Client Focus: Capacity to work with various clients. Need to be sensitive about the rationale of their requests and be proactive when replying to them. Work as partnership while consistently keeping an independent mindset.

Specific Qualifications(if required)

Bachelor or Master Degree on Economics, Mathematics or Finance

Experience in reconciliation of equity and derivative products

Knowledge in Financial Products. Knowledge in Front to Back workflows and the product event management would be a significant plus.

Strong Preference to have MS Excel

Skills Referential

BehaviouralSkills: (Please select up to 4 skills)

Communication skills - oral & written

Attention to detail / rigor

Ability to deliver / Results driven

Decision Making

Transversal Skills:(Please select up to 5 skills)

Analytical Ability

Ability to understand, explain and support change

Ability to develop and leverage networks

Ability to develop and adapt a process

Ability to anticipate business / strategic evolution

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 5 years

Other/Specific Qualifications(if required)