Job Description

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The current role is for the Submission Control team within Transaction Reporting Control Group and below is the description of the role.

• Good understanding of Regulatory reporting land scape for CFTC, EMR, MIFID, HKMA, SFTR and APAC so that incumbent can discuss issues with compliance and legal
• Provide strategic steer to the team and take complete ownership of the task allocated
• The incumbent is required to engage with senior stakeholders and should be able to present function well
• Lead various initiatives related to process re-engineering and challenge status quo
• Project manage transition process from different location/team.
• Deliver on project commitments and goals, on-time and with agreed upon scope
• Identify discrepancies/reporting issues in a timely manner and work towards the resolution of those issues
• Create and maintain strong relationships with stakeholders and Business partners.
• Incumbent needs to be proactive and should think strategic to build preventive controls and improve post facto controls
• Deliver on project commitments and goals, on-time and with agreed upon scope.
• Experience in using BI tools like Alteryx and Tableau to automate reports
• Well versed in identifying a regulatory breach and raising it with the compliance team
• Deliver for business partners: FO, BO and Cirrus Development teams, MO change management teams, Regulatory Operations Control team, Business Analyst team, and senior management team.
• Attend and contribute to team meetings

This is a very hands on role, ideal for someone with drive and willingness to learn and adapt, is proactive and has very good knowledge about the reporting regulation and the reporting system architecture
Responsibilities*

• Ensuring the completeness, accuracy and timeliness of transaction reporting submissions across multiple regulatory regimes (e.g. Dodd Frank, EMIR, MIFID/MIFIR, etc.)
• Engagement in designing, implementing and maintaining operation process
• Design KPI which can be measured on daily basis to determine performance of the team
• Management reporting and issue escalation and resolution
• Remaining current on the Regulatory Reporting landscape to ensure the firms reporting remains in step with changes in regulatory environment
• Responsible for working closely with GTR and Industry Working Groups (WG)
• Host WG calls with various internal groups to implement the industry/regulatory changes
• Track the progress of the implementation of changes and work closely with various team in FO/MO/Dev teams and Reporting Dev team
• Responsible to document the changes and work closely with the compliance teams
• Raise breach as per the guidelines and ensure remediation of the issue
• Investigate and identify the root cause for the Transaction Reporting breaks and coordinate with FO/MO/Tech to fix them
• Review controls on regular basis and challenge status quo
• Escalate issues in a timely manner.
• Execute all the process related admin tasks
• Work with change and initiative team on new changes and provide requirement for controls ahead of going live with new jurisdiction.