Job Description

Position Description:

The Operations Risk & Regulatory Control Division is a global team responsible for Control (Balance Sheet Control), Risk Oversight, Regulatory Reporting (Disclosure of Interest, Transaction Reporting), CTB Projects and International Tax operations. The Division has over 600+ team members across the Firm, with the majority residing in Baltimore, Glasgow, Hong Kong, Mumbai, Bengaluru, and Japan as well as with Vendors in Nagpur/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,  Substantial Shareholder position monitoring and disclosure, Takeover Panel Reporting and disclosures, Beneficial Ownership Disclosures  as well as multiple other oversight functions to ensure Client is meeting reporting obligation 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 breaches across the full suite of DOI functions.

The candidate should expect to build an intricate knowledge of 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 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.
  • Innovative and creative – challenges the existing processes and status quo.
  • Excellent inter-personal skills

Skills Desired: -

  • Diversified financial services product knowledge.
  • Proficient in Microsoft Office

 

Skills Proficiency: Intermediate

 

Shift time:

7.30 am to 4.30 pm.

 

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