Regulatory Office Job Description
Regulatory Office Duties & Responsibilities
To write an effective regulatory office job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory office job description templates that you can modify and use.
Sample responsibilities for this position include:
Regulatory Office Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Office
List any licenses or certifications required by the position: CIP, RAPS, ACRP, CIPP, PRM, FRM, CFA, MDR, EU, US
Education for Regulatory Office
Typically a job would require a certain level of education.
Employers hiring for the regulatory office job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Economics, Engineering, Graduate, Statistics, Accounting, Education, Math, Business, Computer Science
Skills for Regulatory Office
Desired skills for regulatory office include:
Desired experience for regulatory office includes:
Regulatory Office Examples
Regulatory Office Job Description
- Provide direct guidance to Records Owners and Records Champions
- Assist in the development and implementation of governance policies regarding information and knowledge and associated procedures, and work with Global counterparts/requirements
- Ensure adequate control and storage of official records, regardless of media, including storage and retrieval of active, inactive and permanent records
- Responsible for identifying and procuring appropriate technology support for the function
- Actively identify continuous improvement opportunities to enhance operational efficiencies through process and metrics analysis
- Identifying and analysing legislative and regulatory proposals on a variety of upcoming financial regulatory change initiatives in terms of application to and impact upon current JPM business
- Review account level metrics
- Enhance the team’s understanding regulatory environment and how those requirements apply to the GSAM organisation
- Represent GSAM Operations within firmwide working groups, covering the implementation of MiFID II, articulating our considerations in this forum
- Ensure upcoming requirements are specified in a manner suitable for the intended audience and are understandable, unambiguous and capable of being implemented and tested
- Ability to execute assignments independently
- Holistic ownership and understanding of transaction and position reporting regulatory regimes, along with external audit reporting requirements from a GSAM Operations perspective
- Oversight of the GSAMi regulatory obligations that govern the functional processes
- Experience in the Finance Industry, ideally Asset Management Operations
- Knowledge of equity products, including both cash equities and derivatives
- Experience with regulatory transaction reporting
Regulatory Office Job Description
- Partner with the global operations stakeholders to establish the governance and controls required to successfully maintain reporting adherence under MiFID II, leveraging understanding of sound risk management practices
- Provide additional support for the team in meeting existing reporting obligations across a number of regulatory regimes
- Work closely with the fixed income trade support team to understand the trade types and flow to ensure correct reporting
- Conduct T+1 reconciliations for regulatory and internal reporting requirements
- Collect prospectus information from issuers for traded securities that require investigation
- Help maintain information about specific securities
- Conduct various reviews on reported fixed income products to ensure data integrity and reporting logic is correct
- Perform timely reconciliations as required
- Assist with daily fixed income trade support functions and investigations as required
- Delivery of New Regulatory requirements (across global jurisdictions)
- Performing business analysis / process review to propose optimum solution to the Stakeholders
- Facilitate effective communication between all Stakeholders including the business, operations, technology, legal, compliance, treasury and other support groups
- Supporting all facets of the Change Life Cycle
- Previous experience in the Financial Services industry, ideally with supporting Equity Derivatives products
- A self motivated
- Fixed income knowledge preferred
Regulatory Office Job Description
- Working with Business, Legal, Audit, Control and Corporate functions for issues and developments relating to regulations
- Technology deliveries relating to new or enhancements to regulatory reporting
- Process and control mapping
- Escalation and remediation of reporting issues
- Participating in Industry working groups to discuss regulatory requirements, developments and industry best practices
- Continuous review and enhancement of regulatory reporting and control framework
- Focus on a number of key control deliverables across regulatory jurisdictions
- Creating action plans to rectify current reporting issues
- Look at synergies across controls and reporting jurisdictions to ensure control and future scalability
- Attend weekly control meetings to discuss current reconciliation and control performance
- Regulatory experience, inc. MiFID
- Experience delivering large-scale projects across multiple disciplines specifically related to the implementation of technology systems with an Agile delivery model (prior regulatory capital and/or regulatory reporting experience preferred)
- The candidate should possess a solid theoretical knowledge of capital markets products and valuation methodologies, quantitative skills and accounting principles
- Experience and strong knowledge in the use of MS Office Excel (pivot tables/macros), MS Office Visio, MS Office Word, MS Office Outlook, MS Office PowerPoint and MS Office Access
- Experience with business and system processes analysis and data reconciliation
- Flexibility to adapt in a dynamic environment, make quick and sound decisions under pressure
Regulatory Office Job Description
- Build and maintain relationships with Front Office, Product Control, Legal, Compliance, and corporate
- Able to creates a collaborative working environment, pragmatically balancing governance requirements with delivery focus
- Highly motivated, with a strong desire for continuous learning and new challenges and an ability to cope with pressure and tight timelines
- A highly organised self starter who can demonstrate a sense of initiative and the ability to progress work with minimal support and guidance
- Able to display professionalism in a dynamic environment, coping with shifting priorities and changing responsibilities to meet needs and demands
- A structured, methodical thinker with strong attention to detail and adherence to the highest quality standards
- Prepares and submits regulatory documentation that may include
- Prepares, maintains and organizes Regulatory files for each assigned study in compliance with study sponsor requirement
- Serve as Single Point of Contact (SPOC) in assigned studies for investigative sites, RSU Team Lead, Clinical Operations, Feasibility, Site Identification, Project Management and CST
- May contribute to the collection, interpretation, analysis and dissemination of accurate regulatory intelligence to support assigned studies and wider company, as required
- Prior experience of a control and development role
- Front Office Experience (Ex-trader would be ideal)
- Market Abuse Regulatory knowledge experience is desired (MAD/MAR)
- Previous experience on Regulatory change initiatives - MiFID/EMIR/Dodd-Frank
- Cross Asset knowledge
- Front to back experience
Regulatory Office Job Description
- May support importation activities
- May act as Local Regulatory, Ethics and Contract Expert and reviewer of ICF
- May act as mentor, and prepare and deliver country-specific training, for less experienced staff
- Provide Proposal Management with input on proposals and budget development for RSU component of projects
- Where applicable, review and ensure project instructions for RSU projects are complete and accurate, including local requirements as appropriate
- Manage employees in accordance with organization’s policies and applicable laws
- Serve as advisor for designated clients as necessary
- Participate in the selection and on-boarding process for new RSU employees by conducting candidate review and participating in the interview process
- Under general supervision, serve as Single Point of Contact (SPOC) in assigned studies for investigative sites, RSU
- Team Lead, Clinical Operations, Feasibility, Site Identification, Project Leadership and GICS
- Familiar with Industry developments such as Financial Reform and worked with industry participants such as DTCC / ISDA
- Strong securities, derivatives, and trade lifecycle knowledge
- Degree level education or above
- Knowledge of the main aspects of HKMA, CFTC, MAS, ASIC and EMIR trade reporting
- Highly professional and articulate with good engagement skills and the ability to work with people of all levels
- Technical understanding of how systems deliver regulatory reports is desirable