Job Description

Must and good to have: basic Excel skill (must have),  good Communication (must have), derivative Product, regulatory market , financial knowledge (good to have).


JD – DOI role


Job Title: Disclosure of Interest 

Job Level: Associate / Temp’s

Education Level: Minimum Bachelor or Masters’ degree


Position Description:

The Operations Risk & Regulatory Control Division is a global team responsible for Control (Balance Sheet Control), Regulatory Reporting (Disclosure of Interest, and 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.

The opportunity is with the ORRC Disclosures of Interest (DOI) team in Mumbai, India, a team that is focused on fulfilling regulatory requirements including Short Position Monitoring and disclosure, 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  (Essential)


Minimum 3-5 years’ experience


  • Product Knowledge
    • Exposure and understanding of Equity product and Derivative Products
    • Advanced knowledge of trade flows and operational models.
    • Advanced level of regulatory understanding.


  • Technical Knowledge/Experience
    • Experienced with MS Office (MS Excel/Access/Outlook etc.) & is currently using excel / Microsoft application in daily BAU.
    • Has the ability to absorb information and learns quickly


  • Communicates Effectively
    • Excellent verbal and written communication abilities
    • Capable of open, accurate and concise communication at all times, whether through email or phone
  • Teamwork
    • Works effectively and builds relationships with colleagues
    • Willing to perform additional tasks, when required, to help team meet its control goals


Skills Required (Desired)

  • Prior experience in investment banking operations or finance
  • Knowledge of trade life cycle or regulatory understanding
  • Excel / Analytic skills