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EAC Compliance & Operational Risk - Director - Equity Aggregation

London, United Kingdom, £ £ - Annual Annual, Permanent


We\'re looking for a candidate to this position in an exciting company.

  • Leading the execution of all regulatory reporting obligations aligned to substantial shareholdings, takeovers, short positions and other regulatory position limits in EMEA, Asia Pacific and Americas regions
  • Providing leadership to a global team of more than 15 specialized associates, including developing, motivating and coaching talent
  • Overseeing the processes undertaken to reconcile transaction, and position data in preparation for disclosure notices
  • Acting as escalation point to resolve issues arising from disclosures and discussing such issues with global Compliance staff and other internal risk groups
  • Partnering with regulatory change teams to implement all relevant regulatory laws and reporting requirements affecting GREAT systems and processes (e.g. MAR, Singapore SSR, Brazil CVM)
  • Acting as the key point of contact for Front office, Operations and Technology teams on relevant initiatives, from a regulatory reporting perspective, in order to improve systems and data
  • Representing GREAT at internal committees and governance forums covering operational, regulatory and market risks aligned to reporting
  • Maintaining key business relationships with Senior Equity and FICC trading desks and product team managers conducting trading activity in scope for regulatory reporting
  • Working closely with Line of Business Compliance & Legal on complex transactions including IPO, secondary offering and M&A in order to ensure the execution of accurate and complete disclosures
  • Promoting global consistency and efficiency of processes across the regions to ensure region by region programme requirements meet the overall global strategy and plan
  • Supporting the continuous enhancements programme/ data quality project to streamline existing processes, strengthen controls and upgrade systems by ensuring issues are correctly prioritised, tested and implemented
  • Building meaningful management information including KRI\'s/ KPI\'s to support intelligent decision making
  • Championing the team\'s continuous development of regulatory SME including knowledge base of the bank products and their relevance to disclosure reporting and monitoring duties
  • Keeping up to date with regulatory developments/proposed legislative changes and contributing to industry groups

  • Educated to Bachelor degree level and/or equivalent experience/qualifications
  • Excellent knowledge of Financial Markets, Banking Industry and products or significant exposure to equities products within a similar environment
  • Excellent oral and written communication skills
  • Highly motivated with an organised work style and the ability to work calmly in a high energy environment
  • Excellent interpersonal skills with all levels of employees
  • Discrete when handling confidential information
  • Able to demonstrate a high level of integrity with a mature approach to work
  • Experience in a Regulatory Reporting environment or exposure to position/transaction processes/life-cycle, including involvement in building new systems to meet complex reporting requirements, is helpful
  • FINRA Series 24 certification or similar major global supervisory certification preferred

Job Details

Not Specified
London, United Kingdom
£ £ - Annual Annual