Asia Equities Regulatory Reporting

• A team player who performs controls and submission of Regulatory Reports for Equities.
• Ensured that all submission of the Regulatory Reports are performed on timely basis.
• Manage day to day BAU functions, which includes handling queries from different stakeholders.
• Respond to ad-hoc regulatory demands for support functions, including compliance, legal, technology and other Operational teams
• Interact with stakeholders laterally and vertically across different asset classes and in business process mapping, analytics, re-engineering and enhancement
• Define Operating Model, support UAT while migrating the reports to strategic Regulatory Reporting platform.
• Collaborate with regional and global stakeholders including Line Operations, APAC Innovation Council, Operations Control Management, Regulatory Reporting, Legal, Compliance, Sales and Trading in delivering digital solutions enhancing controls and efficiency
• Partner with technology teams across the region to develop and implement strategic platform change for Asia Regulatory reporting
• Analyze, and prioritize manual touchpoints for enhanced efficiencies and controls leveraging Intelligent Automation and Artificial Intelligence

Key responsibilities include:

• Ensure timely and accurate submission of Equity Regulatory Reporting across the region
• Drive the E2E process review to improve controls and processes and increase Operational efficiencies
• Driving the adoption of Regulatory reporting onto strategic platforms, including that Business Requirements and testing strategies are clearly documented, communicated, and delivered against Critical Success Criteria.
• Help with regulatory inspections and ad-hoc queries as well as managing internal audits.
• Establish and maintain an effective communication and engagement model with key contacts within the various within the team, Technology and Line of Business teams.
• Contribute to project scope, approach and timelines, ensuring that Asia Equities Regulatory impacts are understood, and requirements are fully met.
• Create and maintain necessary project and governance documentation including Business Requirement Documents, Test Scenarios and Cases, etc.
• Issues and events management according to the Reg Reporting Escalation Standards

• 5 years of working experience in the banking industry, with at least 3 years of experience in Market Operations and 2 years of experience in Regulatory Reporting
• Strong understanding of Asia Equities Regulatory reporting landscape, including SEBI, Short Sell reporting and regional Transaction and Summary Reporting
• Strong critical thinking and problem-solving skills; Capable of synthesizing and summarizing complex data or findings to identify next steps and actions
• Good analytical skills, control mindset and attention to details
• Strong organizational and time management skills
• Ability to demonstrate personal initiative, ownership and accountability
• Ability to work in a fast paced and dynamic environment and be flexible to changes to scope and approach
• Excellent leadership skills, capable of managing a small team in a highly demanding area, with the ability to manage time-critical deliveries
• Strong partnership record and ability to build and maintain effective relationships with a wide range of stakeholders through the firm
• Effective interpersonal, relationship building and influencing skills
• Effective verbal and written communication skills
• Bachelor's Degree in Finance, Economics or other related disciplines