AVP, Regulatory Reporting Assurance Tester

Our Client, a Leading Global Investment Bank, has an exciting opportunity for an experienced Regulatory Reporting Assurance BA to join the Regulatory Operations Assurance function within Operations. The main focus of the role is to assist the team with providing ‘Assurance’ that our Trade & Transaction reporting is both ‘complete’, ‘accurate’ and ‘timely’. This involves helping to identify and managing issues, including managing the remediation and back reporting obligations.

The candidate would need strong regulatory reporting ‘hands on’ knowledge across a number of regulatory reporting regimes with experience of ‘best practice’ in governance and controls in a regulatory reporting environment.

Key responsibilities:

  • Provide assurance as to the quality of our clients Trade & Transaction processing by planning and implementing a ‘sample testing’ approach based on priorities agreed with the Business, Operations & Compliance.
  • Assist with the identification and remediation of regulatory reporting issues, including the analysis required to remediate and back report to regulators as and when required.
  • Analyse regulatory trade/transaction reporting data to assist in the identification of issues.
  • Taking ownership of the back reporting obligations, by estimating, planning and implementing an agreed approach.
  • Assist with the UAT process and testing of changes that impact regulatory reporting.
  • Build and roll out appropriate MI to provide impactful and concise information as to the status of regulatory change.
  • Understanding the current regulatory reporting governance, controls and architecture in place [Front to Back]
  • Providing valuable insight into the governance and control Assurance framework for on-going improvements and best practices.

Skills and experience:

  • Strong working understanding of reporting requirements primarily under MiFID II, EMIR, CFTC and knowledge of ASICS and HKMA and CSA as secondary.
  • Strong testing background/approach with Trade/Transaction reporting and experience with correcting & back reporting trades.
  • Good working knowledge of DTCC transaction reporting portal and MiFID II ARM/PTT vendor packages for reporting.
  • Good product knowledge across Equities, Bonds, ETD’s and OTC derivatives.
  • Ability to work effectively in matrix structure and to leverage the input / engagement of colleagues in other departments
  • Strong functional knowledge of operations and trade life cycles
  • Ability to work to tight deadlines
  • Proficient with core Microsoft desktop software

Preferred additional skills / experience:

  • Bloomberg / Fidessa / Murex knowledge/experience
  • Technical background that could help interrogate Trade messages and/or data such as XML
  • Knowledge of APA/ARM software for transaction reporting.

Personal requirements:

  • Excellent communication and interpersonal skills
  • Results driven, with a strong sense of accountability
  • A pro-active, motivated approach to work
  • The ability to operate with urgency and prioritise work accordingly
  • The ability to manage large workloads and tight deadlines
  • Excellent attention to detail and accuracy
  • A calm approach, with the ability to perform well in a pressurised environment
Hong Kong

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