Operations, Regulatory Control Operations

**OPERATIONS**

Operations division is a dynamic, multi-faceted organization that partners with all parts of the firm to provide banking, securities, and asset management services to clients around the world. In addition, Operations provides essential risk management and controls to preserve and enhance the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls that enable business flow.

**RESPONSIBILITIES AND QUALIFICATIONS**

YOUR IMPACT

**OUR IMPACT**
TRANSFORMATION AND CONTROL SOLUTIONS | REGULATORY CONTROL OPERATIONS

Our team of critical thinkers partners with groups in all areas of the firm to perform financial analytics and reporting as well as data analytics and engineering. Our division also provides critical operations design and handles capital markets operations to ensure business flows smoothly across our global offices. From day one, team members play a vital role in upholding the three Operations principles of client focus, process innovation and risk management.

We are a globally located team that exists to ensure that the firm fulfills a wide range of non-financial regulatory reporting obligations.

Regulatory Operations, with whom Control Solutions is partnered, is responsible for reporting to external stakeholders in globally, including the reporting and monitoring of trade, transaction and position information across a wide range of traded financial products and business. The characteristics of the team have to marry the firm’s culture of teamwork and diligence with the nature of regulatory obligations: ever changing with a need for precision and fast turnaround.

**HOW YOU WILL FULFILL YOUR POTENTIAL**

Responsibilities include the following:

- Contribute to the execution of non-financial regulatory reporting obligations (e.g. MiFID, EMIR and other),
- Be part of a Team setting standards for regulatory reporting requirements implementation within the Firm and ensuring that these standards are met,
- Perform analysis on reporting anomalies, remediation and corrective actions working closely with respective Production, Remediation and Engineering teams ,
- Advise on regulatory risk and requirements to facilitate commercial activity,
- Analysis of internal client and external regulatory inquiries related to trade, transaction, position data,
- Enhance the reporting process by documenting requirements to address regulatory reports for remediation and production discrepancies ,
- Perform verification, validations and testing of the data provided by Engineering,
- Actively participating in the development of the strategic control framework for Regulatory Operations
- Work collaboratively across multiple business lines and stakeholder groups in strategic initiatives across the global Regulatory Operations department
- Develop strong working relationships both internally including the Front Office and Middle Office Technology, Legal, Compliance and externally to support various reporting functions

**SKILLS & EXPERIENCE WE ARE LOOKING FOR**
**BASIC QUALIFICATIONS**
- Bachelor’s degree with at least 3.5 years of experience in a global firm with Risk and Control / Audit / Legal / Compliance / Project Management background,
- Strong analytical skills with an ability to understand complex workflows paired with meticulous attention to detail,
- Must have strong communication skills to clearly articulate issues and ideas, provide timely escalation,
- Good interpersonal skills to build strong relationship with key stakeholders within and outside of Operations,
- Good influencing skills to work with the Operations team in challenging the status quo and continuously enhancing the control environment required,
- Self-motivated and proactive team player, who takes ownership and accountability of projects, has strong organizational skills as well as the ability to effectively manage competing priorities within deadlines,
- Flexible and able to work well under pressure in a team environment.

**PREFERRED QUALIFICATIONS**
- Experience in an Operations Control Environment,
- Working knowledge about financial markets, regulatory landscape and associated processes,
- Experience with regulatory reporting,
- Working knowledge of financial products, e.g. equities, fixed income, exchange traded derivatives, OTC derivatives,
- Working knowledge about project management and business analysis,
- Working experience with operating on large data sets and BI tools (including SQL).