Sr Analyst, Reg Reporting

Job Description

Sr Analyst, Regulatory Reporting

Description

Job Purpose (Job Summary): The Sr Analyst, Regulatory Reporting will be responsible for ensuring adherence to policies and procedures that support regulatory reporting responsibilities around EMIR, SFTR, ASIC & MiFiR, throughout the various reporting regions. This includes FCA and SEC reporting requirements as well as other regulatory bodies throughout the Invesco global footprint. The incumbent will execute on regulatory reporting requirements, i.e., compiling of data, monitoring of trade activities, and other regulatory support activities and leverage a multi-regional team to review, validate, and submit regulatory filings. The incumbent will as also stay current with existing and new regulations and provide insights and training of other individuals within the global team. The incumbent works with various global business functions to identify risk and lead Continuous Improvement efforts as well as participating in various other initiatives across Regulatory Reporting.

Key Responsibilities / Duties:

Regulation: EMIR, ASIC & SFTR

• Perform Biweekly reconciliations on trade reports submitted by broker to DTCC and raise the issues with counterparties in timely manner.
• Ensure all the eligible funds under different regimes are onboarded for delegated reporting services, provide accurate information for static set-up, and maintain the onboarding tracker.
• Hold regular calls with brokers, assist with evidence and confirmations.
• Any issues identified are remediated and where required ensure broker back reports the affected transactions.
• Assist internal and external client on queries and attestations
• Ensure all eligible trades are reported to the respective trade repository by performing robust reconciliation and investigations on DTCC reports.
• Follow up with vendors and brokers on issues, hold regular calls, assist with confirmations to ensure timely remediation.
• Manage the investigation, analysis & resolution with effective documentation of issues identified and distribute regular management Information to key stakeholders
• Perform validation checks and accuracy checks as part of reconciliation process and track the status
• Ensure any process update is documented timely in procedures
• Resolve internal and external queries whilst managing your own responsibilities and delivering within SLA
• Closely work with the team lead in updating procedural documents, process controls, process maps & MI’s as and when required
• Work with Technology to define new and disruptive technologies that bring automated solutions to improve quality and reporting of data
• Acts as a change champion and facilitates continuous improvement
• Builds productive working relationships with oversight team, vendors and other business partners

Regulation- MiFiR

• Manage and clear any ARM exceptions that are identified within a T+1 timeframe
• Monitor daily submissions and swiftly deal with data transmission issues, stuck files in ARM and any errors related to reports submission
• Follow up with vendors and brokers on issues and escalate to SME to ensure timely remediation
• Manage the investigation, analysis & resolution with effective documentation of issues identified and distribute regular management Information to key stakeholders
• Undertake quality assurance and sample check of trade and transaction reports
• Report any material breaches swiftly to Management team
• Ensure all regulatory reportable transactions are reported to the FCA and BaFin within a timely manner

Qualifications

Work Experience / Knowledge:

• Broad knowledge of Investment Services operations and trading processes including post-trade processing, reconciliation, security master data, pricing, exposure to various asset classes and other operational services along with key data components utilized
• Familiarity of global regulatory reporting agencies and reporting requirements including MiFID, SFTR, ASIC & EMIR.
• Will have experience working within a global team environment.
• Experience in MIFID, SFTR or EMIR Reporting is a plus
• Minimum 4 years’ Securities domain experience
• Familiarity of Visio, Tableau, and/or Power BI as well as workflow diagraming a plus

Skills / Other Personal Attributes Required:

• Exceptional verbal and written communication skills
• Intellectually curious and open to challenging themselves and others to explore new opportunities
• Challenges status quo in pursuit of world class execution and creating competitive advantage
• Creative problem solver
• Strong quantitative and analytic skills are required
• Strong customer focused attitude
• Structured, disciplined approach to work and good attention to detail
• Good time management, organizational and planning skills
• Able to multi-task and work under pressure to meet tight deadlines while remaining professional and courteous
• Motivated, self-starter. Enjoy challenging work and have a strong desire to learn and progress
• Passion about, and ability to work with and develop, others
• Active listening skills

Formal Education:

• A Master’s Degree or equivalent work experience

License / Registration / Certification:

• Any MiFIR, SFTR or EMIR Equivalent certification would be a plus

Job Investment Services & Operations

Primary Location India-India-TS-Hyderabad- DivyaSree Orion

Schedule Full-time

Job Description

Sr Analyst, Regulatory Reporting

Description

Job Purpose (Job Summary): The Sr Analyst, Regulatory Reporting will be responsible for ensuring adherence to policies and procedures that support regulatory reporting responsibilities around EMIR, SFTR, ASIC & MiFiR, throughout the various reporting regions. This includes FCA and SEC reporting requirements as well as other regulatory bodies throughout the Invesco global footprint. The incumbent will execute on regulatory reporting requirements, i.e., compiling of data, monitoring of trade activities, and other regulatory support activities and leverage a multi-regional team to review, validate, and submit regulatory filings. The incumbent will as also stay current with existing and new regulations and provide insights and training of other individuals within the global team. The incumbent works with various global business functions to identify risk and lead Continuous Improvement efforts as well as participating in various other initiatives across Regulatory Reporting.

Key Responsibilities / Duties:

Regulation: EMIR, ASIC & SFTR

• Perform Biweekly reconciliations on trade reports submitted by broker to DTCC and raise the issues with counterparties in timely manner.
• Ensure all the eligible funds under different regimes are onboarded for delegated reporting services, provide accurate information for static set-up, and maintain the onboarding tracker.
• Hold regular calls with brokers, assist with evidence and confirmations.
• Any issues identified are remediated and where required ensure broker back reports the affected transactions.
• Assist internal and external client on queries and attestations
• Ensure all eligible trades are reported to the respective trade repository by performing robust reconciliation and investigations on DTCC reports.
• Follow up with vendors and brokers on issues, hold regular calls, assist with confirmations to ensure timely remediation.
• Manage the investigation, analysis & resolution with effective documentation of issues identified and distribute regular management Information to key stakeholders
• Perform validation checks and accuracy checks as part of reconciliation process and track the status
• Ensure any process update is documented timely in procedures
• Resolve internal and external queries whilst managing your own responsibilities and delivering within SLA
• Closely work with the team lead in updating procedural documents, process controls, process maps & MI’s as and when required
• Work with Technology to define new and disruptive technologies that bring automated solutions to improve quality and reporting of data
• Acts as a change champion and facilitates continuous improvement
• Builds productive working relationships with oversight team, vendors and other business partners

Regulation- MiFiR

• Manage and clear any ARM exceptions that are identified within a T+1 timeframe
• Monitor daily submissions and swiftly deal with data transmission issues, stuck files in ARM and any errors related to reports submission
• Follow up with vendors and brokers on issues and escalate to SME to ensure timely remediation
• Manage the investigation, analysis & resolution with effective documentation of issues identified and distribute regular management Information to key stakeholders
• Undertake quality assurance and sample check of trade and transaction reports
• Report any material breaches swiftly to Management team
• Ensure all regulatory reportable transactions are reported to the FCA and BaFin within a timely manner

Qualifications

Work Experience / Knowledge:

• Broad knowledge of Investment Services operations and trading processes including post-trade processing, reconciliation, security master data, pricing, exposure to various asset classes and other operational services along with key data components utilized
• Familiarity of global regulatory reporting agencies and reporting requirements including MiFID, SFTR, ASIC & EMIR.
• Will have experience working within a global team environment.
• Experience in MIFID, SFTR or EMIR Reporting is a plus
• Minimum 4 years’ Securities domain experience
• Familiarity of Visio, Tableau, and/or Power BI as well as workflow diagraming a plus

Skills / Other Personal Attributes Required:

• Exceptional verbal and written communication skills
• Intellectually curious and open to challenging themselves and others to explore new opportunities
• Challenges status quo in pursuit of world class execution and creating competitive advantage
• Creative problem solver
• Strong quantitative and analytic skills are required
• Strong customer focused attitude
• Structured, disciplined approach to work and good attention to detail
• Good time management, organizational and planning skills
• Able to multi-task and work under pressure to meet tight deadlines while remaining professional and courteous
• Motivated, self-starter. Enjoy challenging work and have a strong desire to learn and progress
• Passion about, and ability to work with and develop, others
• Active listening skills

Formal Education:

• A Master’s Degree or equivalent work experience

License / Registration / Certification:

• Any MiFIR, SFTR or EMIR Equivalent certification would be a plus

Job Investment Services & Operations

Primary Location India-India-TS-Hyderabad- DivyaSree Orion

Schedule Full-time