Regulatory Reporting Operations Senior Professional

Job Description:
This job is responsible for defining, providing and overseeing analytical processes for highly complex regulatory reporting for one or more operations product teams. Key responsibilities include managing complex projects and workstreams involving systems enhancements, process improvements, products and services. Job expectations include serving as a subject matter expert to other teammates and handling highly complex issues that require management and coordination across multiple stakeholders.

The Regulatory Reporting Operations Senior Professional is part of the Equity Aggregation team and is responsible for position monitoring and preparation of non-financial regulatory disclosures under the relevant regulatory reporting laws across multiple regimes (substantial shareholdings, takeovers, short positions, beneficial ownership notices and industry limits) for the Global Markets and Wealth Management business divisions. They are responsible for the analysis and resolution of highly complex operations problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve. They may be required to contribute to various projects and/or the introduction of new initiatives, systems, products/services and processes and coordinate necessary expertise across multiple operations functions and/or products.

Responsibilities:

• Delivers highly complex regulatory reports to regulatory agencies in line with expectations on completeness, accuracy, quality, and timeliness
• Defines and executes control practices, including compliance with all regulatory and policy requirements, including data quality standards
• Ensures that key risks, performance indicators, and desktop procedures are fully documented, in line with enterprise standards, reviewed on a regular basis and challenged and escalated where necessary
• Responds to inquiries from regulatory agencies and internal control partners (e.g., Audit and Compliance), and provides reporting, as needed
• Establishes credible, collaborative and influential relationships with key senior stakeholders, including FLU and Front Office partners
• Identifies, tracks, and remediates errors, breaches, data issues and control enhancements that impact the respective reports
• Coordinates the partnership with upstream process owners and data providers to improve data quality of regulatory reports, and with Non Financial Regulatory Reporting Interpretation and Technology teams to review and maintain data dictionaries for completeness of business requirements and ensure completeness of all operational and reporting requirements

Required Skills:

Experience in Equity Aggregation Operations or Compliance (also known as Position Reporting, Shareholding Disclosures, Disclosure of Interest)
• Knowledge of key shareholding disclosure rules within the region of coverage
• Strong knowledge of financial markets, banking industry, equities and derivative products.
• High level understanding of global markets and wealth management business divisions.
• Strong technical and data analytical skills (i.e., Excel, and other similar applications) with experience in analyzing, managing and reporting from large sets of structured data (e.g., books and records data).
• Able to produce accurate work output and reports under tight deadlines
• Communicates effectively in both oral and written formats and tailors message appropriately to audience
• Demonstrated intellectual curiosity and operational excellence experience
• Able to think critically to quickly analyze and resolve issues
• Influences and delivers results through collaborative relationship with key partners and stakeholders
• Works independently to prioritize work and deliver against regulatory deadlines and a dynamic environment
• Able to demonstrate a high level of integrity with a mature approach to work
• Discrete when handling confidential information

Desired Skills:

Experience interacting with regulatory agencies and /or reg exams.
• Regulatory reporting experience and/or experience in a global markets regulatory reporting environment or exposure to position/transaction processes/life cycle (other than Equity Aggregation)
• Experience in technology implementation projects including involvement in building new or enhancing existing systems to meet complex reporting requirements

Skills:

• Analytical Thinking
• Data Quality Management
• Innovative Thinking
• Problem Solving
• Reporting
• Attention to Detail
• Critical Thinking
• Planning
• Risk Management
• Data Mining

Shift:
1st shift (United States of America)

Hours Per Week:
40

Pay Transparency details

US - NY - New York - 1133 Ave Of The Americas - 1133 Ave Of The Americas (NY1533)

Pay and benefits information

Pay range

$66,000.00 - $92,000.00 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.