Manager Non-Financial Regulatory Reporting COE

Key Responsibilities

Strategy

• Client Focus

  : Ensure a client-centric approach in all operations and regulatory reporting activities, aiming for accuracy and timely delivery.

• Improvement Initiatives

  : Continuously improve operational efficiency and performance culture within the team.

• Innovation

  : Drive innovation in regulatory reporting processes and technology to improve service levels.

• Workforce Empowerment

  : Foster a culture of empowerment, motivating and supporting teams to perform at their best.

Business

• Regulatory Reporting

  : Ensure accurate and timely submission of all regulatory reports in line with regulatory timelines.

• Record Keeping and Archiving

  : Maintain comprehensive and up-to-date records and archives of all unit-related activities, including regulatory circulars and clarifications.

• Complaint Handling

  : Ensure all complaints and queries related to regulatory returns are addressed promptly.

• Cost Reduction

  : Proactively identify cost-reduction opportunities while ensuring no compromise on service delivery quality.

• System Management

  : Ensure that Systems, EUCs, and ECNs are updated and compliant with regulatory requirements.

• Compliance with Policies

  : Ensure compliance with Regulatory Reporting Risk Policies/Standards and other group policies.

• Error Log Management

  : Ensure that all regulatory reporting breaches are documented in the Regulatory Reporting Error Log and reported to UORM/Compliance.

• Audit Compliance

  : Ensure no failed audits related to regulatory reporting, and proactively manage financial penalties or warnings arising from errors/delays.

• Document Updates

  : Regularly update DOIs to reflect any changes in regulations or operational procedures.

Processes

• Control Performance

  : Conduct ongoing reviews of internal and external events to assess control performance.

• Risk Management

  : As the first line of defence, comply with applicable laws and manage risks associated with regulatory reporting and internal processes.

• Regulatory Compliance

  : Maintain strict adherence to regulatory expectations and policies set by the second line of defence.

People & Talent

• Team Spirit

  : Foster a collaborative and conflict-free working environment, ensuring team spirit and strong internal relationships.

• Performance Appraisal

  : Ensure timely completion and submission of annual self-appraisals.

• Behavioral Consistency

  : Ensure team behavior aligns with the Group's values, fostering a culture of compliance and ethical behavior.

Risk Management

• Enhancing Service Levels

  : Support operations in enhancing service levels without compromising risk or adherence to SLAs.

• Operational Risk

  : Assist in the identification and mitigation of operational risks within the unit.

• Audit & Risk Control Standards

  : Manage and implement operational risk controls and audit standards within the unit.

• Automation

  : Identify opportunities for automation to enhance service delivery and reduce risk exposure.

• Control Systems

  : Support the development and management of control systems that address operational risks and gaps.

Governance

• Compliance with Laws

  : Ensure adherence to local and international banking regulations, ensuring regulatory timelines and accuracy in reporting.

• Regulatory Reporting

  : Act as the key point of contact for regulatory reporting queries and ensure all submissions are accurate and on time.

• Error Logging

  : Maintain the Regulatory Reporting Error Log and escalate issues to UORM/Compliance where necessary.

• Regulatory Audits

  : Ensure there are no audit failures related to regulatory reporting and that no financial penalties result from errors or delays.

Regulatory & Business Conduct

• Ethics and Compliance

  : Uphold the highest standards of ethics and business conduct, complying with all relevant regulations and the Group's Code of Conduct.

• Risk & Controls

  : Lead the Risk & Controls function within operations, ensuring the effective identification, escalation, mitigation, and resolution of risk and compliance matters.

• Cultural Leadership

  : Contribute to a culture where risk and compliance concerns can be openly raised, with a focus on the fair treatment of all stakeholders.

Skills and Experience

Core Skills

1. Analytical Skills

   : Strong ability to analyze complex regulatory and operational data to ensure compliance and risk mitigation.

2. Computer Literacy

   : Proficient in the use of regulatory reporting systems, tools, and other relevant software.

3. Time Management

   : Ability to manage multiple deadlines and tasks while ensuring timely and accurate reporting.

4. Internal Negotiation Skills

   : Strong interpersonal skills to effectively manage internal stakeholders and ensure alignment on regulatory requirements and risk management.

5. Knowledge of Operations

   : In-depth understanding of operations processes and procedures, particularly in the context of regulatory reporting.

6. Regulatory Knowledge

   : Familiarity with group policies, local regulations, and controls governing financial operations and reporting.

7. Problem-Solving

   : Strong problem-solving skills to address issues proactively and ensure that operational risk is minimized.

8. Communication Skills

   : Strong written and verbal communication skills, with the ability to clearly communicate complex regulatory information to diverse stakeholders.

9. Organizational Skills

   : Excellent organizational and planning skills to ensure regulatory deadlines are consistently met.

10. Team Player

    : Ability to work collaboratively with cross-functional teams to achieve regulatory compliance and operational excellence.

Experience

• At least

  5 years

  of experience in

  regulatory reporting, compliance, or operations management

  in a banking or financial services environment.
• Experience with regulatory frameworks and operational risk management.
• Proven ability to manage compliance and risk-related activities in a highly regulated environment.

Educational Qualifications

• A

  Bachelor's degree

  in

  Finance, Business, Law

  , or a related field is required.

• Certifications

  in

  Regulatory Compliance

  or

  Risk Management

  are a plus.