Regulatory Reporting Professional

Role & Responsibilities:

• Responsible for the day-to-day activities of reporting and exception monitoring, one point contact for escalations.
• Understanding of Middle office / Settlements and Trade life cycle processes for the products covered
• Good understanding of IT infrastructure and Front office / Middle Office systems
• Manage system and IT implementation for functional area
• Extensive communication and liaising with the internal departments, Middle Offices and external counterparties
• Resolution of escalated issues and quick turnaround of urgent breaks and queries
• Participation for implementing process / firm wide initiatives and identify process improvements. Drive efficiency opportunities in the daily workflow
• Sound understanding of EMEA & US jurisdictions like ESMA, FCA, CFTC, SEC
• Understanding of risk within the process and ensure adequate controls are implemented to manage NACK s, reconciliation breaks.
• Ensure escalation protocols are understood and strictly adhered.
• Participate in upcoming regulation changes, understand the impact to organization, gather requirement, prioritization, testing & implementation

Key Skills

• Knowledge of assigned product/functional area and thorough understanding of the entire operations function
• Detailed operational and technical knowledge of a range of products, processes & systems
• Excellent communication skills - Verbal and Written
• Time management and prioritization skills with the ability to handle high volumes
• Extremely good attention to details
• Excellent knowledge of MS Excel, Word and Powerpoint
• Good comprehension and assimilation skills
• Ability to deliver under tight and stressful situations
• An effective team player with excellent communication and people management skills
• Conceptual and analytical thinking - ability to resolve complex problems and issues
• Controls and risk management mindset

Key Accountabilities

• Direction and development of their supervisors, and the overseeing of performance management for the group.
• Participation in Recruitment, Performance Management, Environmental projects. Ability to initiate & implement controls and manage risk.
• Ability to influence strategy.
• Proactively maintaining effective working relationships with clients.
• Anticipating delays in business situations and reallocates resources to meet deadline. Providing clear direction and leadership. Provide mentoring.
• Initiate & Chair meetings.
• Demonstrate an understanding of firm financials/personal expense.
• Commitment to values and goals of firm must be demonstrated
• Process Optimization : Identify opportunities to streamline and standardize processes across the Reg ops. Drive initiatives to eliminate inefficiencies, reduce manual interventions, and enhance service quality through automation.
• Performance Monitoring : Establish and monitor key performance indicators (KPIs) and service level agreements (SLAs). Conduct regular performance reviews and implement corrective actions as needed.
• Technology Integration : Collaborate with technology teams to ensure that operational systems and platforms are aligned. Lead the evaluation, selection, and implementation of new technologies.
• Audit & Control : Work closely with internal audit, compliance, and risk management teams. Lead efforts to address any audit findings or control gaps and ensure that corrective actions are implemented effectively.
• Talent Development : Invest in the ongoing development of the Reg ops team, ensuring that they have access to training, mentorship, and career advancement opportunities. Build a strong pipeline of future leaders within the function.
• Benchmarking & Best Practices : Regularly benchmark the performance of the team through KPI s. Use these insights to drive improvements in service delivery, operational efficiency, and risk management.

Education

UG: Any Graduate, B.Com in Commerce

PG: MBA/PGDM in Any Specialization