Principal Responsibilities :

- Responsibility for the preparation of daily, monthly, and quarterly summary reports for key Americas/EMEA/Asia regulators, exchanges and other stakeholders (internal/external).

- Supervise the daily work in the team, ensuring the functions has proper coverage, escalating any concerns to management.

- Championing an effective escalation process and practice within the team, including thorough analysis of issues, preparation of incident report, and recommendation of corrective and preventive actions.

- Reviewing and enhancing process, procedure, checklists and reports to ensure they are current and accurate.

- Develop solid working relationship with many other areas of the firm including front office, technology, legal, compliance and ops team.

- Providing team level project mgmt. leadership/support to all initiatives.

- Work to help centralize relevant regulatory reporting activities across operations, demonstrating willingness to learn and perform task

- Manage training and handover of production responsibilities including BCP arrangements and oversight control

- Participate in other initiatives from AM Ops perspective to achieve overall AM Ops strategic goals.

Experience/Skills/System requirements :

- Experience with regulatory reporting, particularly from an operations perspective will be greatly valued.

Required: skills and personal attributes include :

- Strong understanding of financial products (FI, currency, SWAPs, and/or Equities products)

- Good understanding of regulatory framework and practice, regulators, SROs and financial products

- A detailed orientation with an ability to connect with the regulatory risk concerns of the AM Ops

- Ability to work quickly and accurately in fast passed environment

- Excellent verbal and written communication skills, with the ability to provide concise team communication and management updates

- Excellent computer skills - Advanced Excel, Access, power-point, word etc.

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