EAC Compliance & Operational Risk Manager - Equity Aggregation

EAC Compliance & Operational Risk Manager - Equity Aggregation

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Job Description:

The Non-Financial Regulatory Reporting (NFRR) Center is responsible for the consistent application of interpretation, data sourcing, preparation, governance and oversight of regulatory reports. The Regulatory Reporting & Operations (NFRR RR&O) group within the NFRR Center is responsible for centralizing and managing consistent Regulatory Reporting function including aligning NFRR reports to the target state in accordance with NFRR technology blue print leveraging interpretations laid out in the data dictionaries.

The NFRR RR&O function is looking for a senior leader for the EAC Compliance & Operational Risk Manager role to lead the Global Equity Aggregation Team (GREAT). You will be responsible for oversight of global team of associates to manage substantial shareholdings, takeovers, residual short positions and other regulatory position limits reporting.

Responsibilities:

• Leading the execution of all regulatory reporting obligations aligned to substantial shareholdings, takeovers, short positions and other regulatory position limits in EMEA, Asia Pacific and Americas regions
• Providing leadership to a global team of more than 15 specialized associates, including developing, motivating and coaching talent
• Overseeing the processes undertaken to reconcile transaction, and position data in preparation for disclosure notices
• Acting as escalation point to resolve issues arising from disclosures and discussing such issues with global Compliance staff and other internal risk groups
• Partnering with regulatory change teams to implement all relevant regulatory laws and reporting requirements affecting GREAT systems and processes (e.g. MAR, Singapore SSR, Brazil CVM)
• Acting as the key point of contact for Front office, Operations and Technology teams on relevant initiatives, from a regulatory reporting perspective, in order to improve systems and data
• Representing GREAT at internal committees and governance forums covering operational, regulatory and market risks aligned to reporting
• Maintaining key business relationships with Senior Equity and FICC trading desks and product team managers conducting trading activity in scope for regulatory reporting
• Working closely with Line of Business Compliance & Legal on complex transactions including IPO, secondary offering and M&A in order to ensure the execution of accurate and complete disclosures
• Promoting global consistency and efficiency of processes across the regions to ensure region by region program requirements meet the overall global strategy and plan
• Supporting the continuous enhancements program/ data quality project to streamline existing processes, strengthen controls and upgrade systems by ensuring issues are correctly prioritized, tested and implemented
• Building meaningful management information including KRI's/ KPI's to support intelligent decision making
• Championing the team's continuous development of regulatory SME including knowledge base of the bank products and their relevance to disclosure reporting and monitoring duties
• Keeping up to date with regulatory developments/proposed legislative changes and contributing to industry groups

Core skills:

• Educated to Bachelor degree level and/or equivalent experience/qualifications
• Excellent knowledge of Financial Markets, Banking Industry and products or significant exposure to equities products within a similar environment
• Experience in a Regulatory Reporting environment or exposure to position/transaction processes/life-cycle, including involvement in building new systems to meet complex reporting requirements, is helpful
• Demonstrable people management experience
• Excellent oral and written communication skills
• Highly motivated with an organized work style and the ability to work calmly in a high energy environment
• Excellent interpersonal skills with all levels of employees
• Discrete when handling confidential information
• Able to demonstrate a high level of integrity with a mature approach to work

Desired skills:

• FINRA Series 24 certification or similar major global supervisory certification preferred

Enterprise Role Overview:

TO BE USED IN GLOBAL COMPLIANCE AND OPERATIONAL RISK ONLY: The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Manager is a subject matter expert on specific processes, controls, laws, rules and/or regulations that have enterprise-wide applicability, affecting two or more Front Line Units (FLU) or Control Functions (CF).

Shift:
1st shift (United States of America)

Hours Per Week:
40

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