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Regulatory Reporting - Associate



Bengaluru, Karnataka, India
Posted on Thursday, July 11, 2024

Job Description

Job responsibilities

We are looking for an experienced operations professional at an Associate level to work in the reporting team within AM Operations, India. Responsibilities include:

  • Responsibility for the preparation of daily, monthly, and quarterly summary reports for key Americas/EMEA/Asia regulators, exchanges and other stakeholders (internal/external).
  • Supervise the daily work in the team, ensuring the functions has proper coverage, escalating any concerns to management.
  • Championing an effective escalation process and practice within the team, including thorough analysis of issues, preparation of incident report, and recommendation of corrective and preventive actions.
  • Reviewing and enhancing process, procedure, checklists and reports to ensure they are current and accurate.
  • Develop solid working relationship with many other areas of the firm including front office, technology, legal, compliance and ops team.
  • Providing team level project mgmt. leadership/support to all initiatives.
  • Work to help centralize relevant regulatory reporting activities across operations, demonstrating willingness to learn and perform task
  • Manage training and handover of production responsibilities including BCP arrangements and oversight control
  • Participate in other initiatives from AM Ops perspective to achieve overall AM Ops strategic goals.

Required qualification, skills and capabilities:

Experience with regulatory reporting, particularly from an operations perspective will be greatly valued.

Required: skills and personal attributes include:

  • Strong understanding of financial products (FI, currency, SWAPs, and/or Equities products)
  • Good understanding of regulatory framework and practice, regulators, SROs and financial products
  • A detailed orientation with an ability to connect with the regulatory risk concerns of the AM Ops
  • Ability to work quickly and accurately in fast passed environment
  • Excellent verbal and written communication skills, with the ability to provide concise team communication and management updates
  • Excellent computer skills – Advanced Excel, Access, power-point, word etc.
  • Experience in Alteryx, Python an added advantage