Job Description

Education Level: Bachelor

Position Description:

The Operations Risk & Regulatory Control Division is a global team responsible for Control (Balance Sheet Control), Regulatory Reporting (Disclosure of Interest, Transaction Reporting and CTB Projects. The Division has over 150+ team members across the Firm, with the majority residing in Baltimore, Glasgow, Hong Kong, Mumbai and Japan as well as with Vendors in Chennai.

We currently have an opportunity within the ORRC Disclosures of Interest (DOI) team that is setup in Mumbai, India, a team that is focused on fulfilling regulatory requirements including; Short Position Monitoring and disclosure, Market Abuse regulation, Substantial Shareholder position monitoring and disclosure, Takeover Panel Reporting and disclosures as well as multiple other oversight functions to ensure Client is meeting reporting and disclosing in line with Regulations.  This role is a business critical control role required to provide coverage across all DOI functions and regulatory reporting obligations, as well as to reduce the risk of regulatory breeches across the full suite of DOI functions.

The candidate should expect to build an intricate knowledge of European and Asia Pacific rules and regulations pertinent to the team, firm systems, data sources, as well as the processes that are in place to ensure compliance with regulations.

The individual will have diverse responsibilities, including but not limited to:-

  • Monitoring of various exceptions to highlight potential disclosure obligations across the regions EMEA and Asia Pacific.
  • Working to tight daily deadlines
  • Building a detailed understanding of each exception type, allowing accurate filings to made to the regulator
  • Building knowledge of security transactions and various product types.
  • Acquiring an intricate knowledge of firm systems, data sources and processes, building the ability to question data integrity.
  • Close communication with dedicated compliance team.
  • Identification and implementation of process improvements
  • Providing support to other members of the team.



Skills Required:-

The ideal candidate may have:-

  • Strong academic background
  • Proficient in Excel (e.g. formulas, pivot tables) and other windows-based software (e.g. Word, Power Point)
  • Strong analytical, organizational and documentation skills
  • Excellent verbal and written communication abilities
  • Exhibit a strong sense of urgency, accountability and ownership
  • Highly motivated self-starter with multi-tasking abilities
  • Team-player
  • Ability to prioritize functions and tasks
  • Has the ability to absorb information and learns quickly
  • Ability to work under high work pressure
  • Innovative and creative – challenges the existing processes and status quo.
  • Focus on guardianship, ensuring that issues are identified, escalated, resolved and reported on a timely basis
  • Excellent inter-personal skills

Skills Desired:-

  • Diversified financial services product knowledge.
  • Proficient in Microsoft Office
  • Advanced knowledge of trade flows and operational models.
  • Advanced level of regulatory understanding.


Skills Proficiency: Intermediate