Job Description
MAIN PURPOSE OF THE ROLE
1. Act as the SME providing the necessary advice, challenge and oversight to the firms Enterprise Functions (e.g. Front Office, Operations, Technology and Change Management Functions across EMEA) and various projects on trade and transaction reporting, including UK/EU EMIR, UK/EU MiFIR/MiFID, UK/EU SFTR, CFTC Reporting (in particular, Part 43 and 45), SEC Reporting, CSA Trade Reporting, HKMA Reporting, MAS Reporting, etc.
2. Provide the necessary technical regulatory advice and expertise to the CASS Team
3. Provide the necessary advice regarding the firms operational framework, including but not limited to, processes involving collateral, valuations, margin and confirmations, etc.
4. Support the firms equity aggregation arrangements to ensure compliance with global laws and regulations relating to Substantial Shareholder Disclosures and Short Selling Disclosures
5. Support the remediation project on equity positions reporting, including Substantial Shareholding Disclosures, Short Selling Disclosures, SEC 13f-1 and 13f-2 Reporting, etc.
6. Represent Compliance and provide appropriate challenge at internal Committees, including regulatory change initiatives/projects
7. Identify and recommend/execute opportunities for process improvement and risk control development
8. Alert manage...