Regulatory Review Manager Global Operations
Job Main Duties:
The Role of a Manager, GDOI Team includes but is not limited to the following:
To understand varied disclosure regulations across jurisdictions with respect to shareholdings and holdings in sovereign bonds and utilize the knowledge in ensuring the Group’s compliance to the regulations
To have in-depth knowledge of the various capital market, various instruments traded, corporate actions and implications of such corporate actions, trade life cycle, various business lines , trading and booking partners of the business and apply the knowledge in monitoring activity in order to take correct decision.
To analyze business data in order to ensure they meet the regulatory requirement of disclosure obligation.
To track the regulation changes and ensure timely the implementation into the operation.
To ensure timely and accurate submission of disclosures notifications to the relevant Competent Authorities
To establish and maintain strong relationship with key stakeholder e.g. Internal and external Legal Counsel, Country Risk Stewards, Business and the relevant competent authorities.
To ensure appropriate record keeping through case management tool.
To work in coordination with the production team in order to ensure disclosure notifications are received and submitted on a timely basis
To continuously focus on the optimization of the operations and make best use of available resources
Knowledge & Experience / Qualifications (For the role
Knowledge & Experience / Qualifications (For the role – not the role holder. Minimum requirements of the role.)
Extensive Knowledge of Capital Market (Equity & Fixed Income)
Detailed understanding of all lines of business who have an obligation to meet which includes Private Bank, Trust business, Global Banking and Markets, Asset Management, Insurance and Retail Banking
Ability to understand and interpret disclosure obligation globally
Ability to work on complex database
High standards of both verbal and written English
Detailed understanding of the trading life cycle (Booking Models, source systems, data feed structure) and relevance to the disclosure systems and operational processes.
Attention to details and good analytical skills
Strong interpersonal skills and able to build and maintain relationships with all stakeholders, to include and limited to the 1LOD- Risk Owners, 2LOD – Regulatory Compliance and other internal stakeholders (e.g. Internal Legal, External Counsel, 3LOD – Audit, COO Functions, HOST)
Ability to interact and maintain strong professional relationships with the Competent Authorities
Excellent time management and prioritization of tasks
Ability to deal with a very dynamic business where various factors will have an impact on disclosures. Nature of business is such that any error committed exposes the Group to potential breach of regulation
Self-motivated, enthusiastic and proven quick learning capability
Requires ability to effectively resolve issues arising on a day-to-day basis, with an overriding view of minimizing any breach of regulations
Committed to completion of tasks
Flexibility to work in different time zones
Excellent Knowledge of MS Office products and demonstrate skills of their use
10 years of experience in a financial organization that has presence in multiple jurisdictions and trades on various venues and executes multiple types of financial instruments
Minimum 3 to 5 years of experience in a role relating to shareholding disclosures across all jurisdictions and exposure to all types of obligation, including interpretation of complex regulations
Experience in Middle Management roles within a Risk / Compliance / Regulatory framework / Trade Reporting
Experience in a role that drives IT System enhancements
Proven experience in dealing with senior Business/Compliance stakeholders
Proven experience in dealing with the interpretation of disclosure obligations from a Legal and Business trading perspective
|Job Category||Finance - Accounting|
|Job Level||Senior Managers , Directors & Executives|