101 Mifid Jobs

You are looking for an experienced and proactive FIX Onboarding Specialist to manage the end-to-end onboarding of institutional clients in capital markets, trading, and fintech environments. Your role will be critical in ensuring that client onboarding is compliant, timely, and frictionless by coordinating with cross-functional teams and leveraging your domain expertise. Key Responsibilities: - Manage the full onboarding lifecycle for institutional and HNI clients in the capital markets domain - Coordinate with internal departments (Product, Compliance, Legal, Operations, and Tech) to ensure timely onboarding - Collect, validate, and maintain documentation in accordance with regulatory requi...

Role Overview: As Vice President in Ops Risk & Regulatory Control at Morgan Stanley, you will be responsible for performing business analysis activities to define solutions using a combination of product, process knowledge, and technical domain knowledge. Your key role will involve helping transform the operations of Morgan Stanley by partnering with business units across the Firm, supporting financial transactions, implementing effective controls, and developing client relationships. Key Responsibilities: - Manage complex processes and/or support significant process management/project efforts. - Lead in process improvement, project management, or technology development and testing across mu...

You will be responsible for managing technology teams supporting various business functions such as Foreign Exchange, Rates, Liquid Products, Commodities sales, Risk, and trading. Your main focus will be on leading the development of in-house platform builds to replace legacy vendor platforms and drive significant savings for the firm. You are expected to engage with the business directly to make an impact and increase the complexity of work delivered from India while establishing accountability as key success factors. **Key Responsibilities:** - Manage a team of engineering managers and engineering leads - Focus on delivering commitments aligned to enterprise strategic priorities - Build su...

Role Overview: As a key member of the asset management team at Invesco, you will be responsible for handling the day-to-day activities related to reporting, reconciliations, and exception monitoring. Your role will involve analyzing reconciliation results, investigating trade and transaction reporting breaks, and ensuring the accuracy and completeness of reporting. You will also play a crucial part in developing and maintaining relationships with regional stakeholders and various business areas. Key Responsibilities: - Handle day-to-day activities related to reporting, reconciliations, and exception monitoring - Analyze reconciliation results and investigate trade and transaction reporting b...

Dear Applicants, Greetings from Teamware Solutions! Position: Regulatory Reporting Location: Mumbai Notice Period: Immediate Joiners Experience : 2-4 Years Interested candidates can apply to the given Email ID: srividhya.g@twsol.com Job Description: Responsible for day-to-day tasks, resolution of issues, as well as longer term projects. Preparation of various Regulatory Reports accurately and ensuring all supporting documents are properly maintained. Maintain a clear focus on enhancing control and continuously improving and reducing operational risks. Interaction with stakeholders on a regular basis. Involvement in projects related to the job function and liaising with IT on automation proje...

Role Overview: As the Vice President of TTRO Transformation at Barclays, you will play a crucial role in providing top-notch support by conducting thorough due diligence, ensuring compliance with regulatory requirements, and safeguarding both clients and the organization with expertise and care. Key Responsibilities: - Prepare, validate, and submit reports in adherence to global regulations such as EMIR, MiFID, CFTC, HKMA, MAS. - Ensure compliance with region-specific regulatory standards, reporting timelines, and audit expectations. - Collaborate with Compliance, Legal, and Regulatory Change teams to interpret new/updated regulations and evaluate operational impacts. - Take ownership of the...

Dear Applicants, Greetings from Teamware Solutions! Position: Regulatory Reporting Location: Mumbai (Apply if you are in western line) Notice Period: Immediate Joiners Experience : 2-4 Years Interested candidates can apply to the given Email ID: greeshma.t@twsol.com Job Description: Responsible for day-to-day tasks, resolution of issues, as well as longer term projects. Preparation of various Regulatory Reports accurately and ensuring all supporting documents are properly maintained. Maintain a clear focus on enhancing control and continuously improving and reducing operational risks. Interaction with stakeholders on a regular basis. Involvement in projects related to the job function and li...

Role Overview: You will be working as a Business Functional Analyst at Deutsche Bank, Pune, India. Your main responsibility will be to gather, analyze, and document business and regulatory requirements related to regulatory reporting applications such as TDW. You will collaborate with the development team to ensure that the solutions align with business needs and end-state architecture. Additionally, you will support testing activities, ensure regulatory compliance, and contribute to process improvements within the team. This role requires hands-on experience in business-driven development. Key Responsibilities: - Gather and analyze business and regulatory requirements from stakeholders. - P...

Hiring, Investment Management and Risk Data Product Owner - ISS Data (Associate Director) About team The Technology function provides IT services to the International business, globally. These include the development and support of business applications that underpin our revenue, operational, compliance, finance, legal, marketing and customer service functions. The broader organisation incorporates Infrastructure services that the firm relies on to operate on a day-to-day basis including data centre, networks, proximity services, security, voice, incident management and remediation. The ISS Technology group is responsible for providing Technology solutions to the Investment Solutions & Servi...

About The Role : Job TitleEmbedded Risk Manager- Risk, DCO/Risk team, AVP LocationBangalore, India Role Description The Embedded Risk Team is an independent Risk Management group aligned to IB and Cross Product Operations, with the responsibility of supporting Operational Risk & Control for Investment Bank & Cross Product Operations. You will be aligned primarily to work with operations teams that support DBs Money Market & Treasury Operations business globally, with primary responsibility for Risk Management, Risk Reporting, and Incident & Finding Management, alongside broader control-led initiatives. You will partner with our global risk team and work collaboratively with 1st line operatio...

About The Role : Job TitleBusiness Functional Analyst Corporate TitleAssistant Vice President LocationPune, India Role Description TDW is a regulatory reporting application responsible for submitting aggregated reports as part of various regulations across the globe like MIFID, CSDR, SFTR, MMSR, FINRA etc. Business Functional Analyst Role will be responsible to gather requirements, analyze the requirement and prepare functional technical design document and work closely with development team to build critical components on regulatory reporting platform and ensuring that their implementation aligns with our end state architecture. This person will also be responsible to make sure development ...

Department Global Regulatory Reporting Reports To Global Regulatory Reporting Senior Manager About your team Regulatory Reporting is a department within Global Asset Management Delivery responsible for submitting various shareholding reports as required by law and financial regulations in Europe, Middle East, Asian and African jurisdictions The group is also responsible for all of Fidelitys post trade reporting obligations like EMIR, ASIC, MIFID Transaction and Trade reporting The Regulatory Reporting function is a global team based in Dublin, Dalian, and Gurgaon covering all relevant regions Types of regulatory filings include substantial shareholder requirements, takeovers, short-selling, ...

As an experienced QA professional in the Financial Services (FS) domain, your role at IRIS will involve hands-on testing of front office and middle office trading applications such as Equity, Options, and Convertible Bonds. Your responsibilities will include understanding the Trade Life Cycle and FIX protocol, as well as developing and presenting test plans, issues, and demos to various stakeholders including clients, development teams, and business stakeholders. Key Responsibilities: - Minimum 8 years of working experience in FS Domain as QA with back office experience - Hands-on experience with front office / middle office trading applications - Equity, Options, Convertible Bonds - Good un...

Department -Global Regulatory Reporting Reports To- Global Regulatory Reporting Senior Manager Level - Senior Analyst About your team Regulatory Reporting is a department within Global Asset Management Delivery responsible for submitting various shareholding reports as required by law and financial regulations in Europe, Middle East, Asian and African jurisdictions. The group is also responsible for all of Fidelitys post trade reporting obligations like EMIR, ASIC, MIFID Transaction and Trade reporting. The Regulatory Reporting function is a global team based in Dublin, Dalian, and Gurgaon covering all relevant regions. Types of regulatory filings include substantial shareholder requirements...

Role & responsibilities Monitor and review employee electronic communications (email, Teams, WhatsApp, SMS, Bloomberg, etc.) for potential policy breaches, regulatory violations or misconduct. Identify and escalate red flags related to insider trading, market manipulation, information leakage, fraud or inappropriate business conduct. Classify, document and track findings in the firms surveillance systems as per established procedures. Assist in internal investigations and prepare summaries or case-reports for senior compliance officers. Help optimize surveillance tools, lexicons and processes to improve detection accuracy and reduce false positives. Participate in user acceptance testing (UA...

Role & responsibilities Regulatory Trade Data Analyst Key Skills: Trade lifecycle & order flow knowledge Experience with OMS/EMS systems (Bloomberg, Fidessa, etc.) Strong in SQL / Python / Excel for data analysis Exposure to compliance, trade surveillance, or reporting Understanding of MiFID II / Dodd-Frank / FCA regulations

Role Overview: You will be part of the Regulatory reporting team as an AVP in Bangalore, India. Your main responsibility will be to ensure compliance with regulatory requirements such as MiFID II, EMIR, CFTC, and SFTR across all asset classes. Key Responsibilities: - Understanding and defining Transaction Reporting logic and addressing how new rules and regulations impact operations - Ensuring accurate, timely and complete reporting - Collaborating with technology development teams to automate the exceptions process - Identifying gaps or errors in systems or trade logic and proactively improving them - Supporting the design of new business solutions and communicating impacts and risks - Perf...

Minimum 8 years of working experience in FS Domain as QA with back office experience Hands on Front office middle office trading applications - Equity, Options, Convertible Bonds Good understanding of Trade Life Cycle, FIX protocol Excellent written and verbal communication - Ability to present test plans Issues Demos to mixed audiences - Client, development & business stakeholders Able to write Functional, Integration and Regression test plans for complex requirements Test Automation: experience in developing and maintaining test frameworks using Java Springboot Basic Linux commands Hands-on database querying skills; Experience with relational database (Sybase, SQL server etc.) Exposure wor...

Business Analyst JD- KYC An experienced Business Analyst is required by the Client Entity Enablement team to operate in an Agile squad involved in changes and rollouts to the Customer Due Diligence ecosystem of applications and services as part of the Technology and Innovation department. Key Responsibilities Plan the analysis approach, stakeholder engagement model, and governance plan for new projects and opportunities, identifying key performance improvement areas. Collaborate with key stakeholders to elicit solution requirements to ensure innovative, smart scalable solutions which adhere to the Banks standards are identified. Liaise and assist the wider Agile team members to ensure delive...

Position Purpose This role is intended to provide data analysis and setup the automated reporting, controls and monitoring for the regulatory reporting team or assimilate (Compliance, top management, IG, Business) on an ad hoc and a regular basis using a variety of analytical tools and SQL. The ODIN Team is part of ITO GM IT, which looks to satisfy the requirements related to regulatory reporting control & monitoring asked by end users represented by OPS Regulatory Reporting or/and C.M.I on four pillars : Data Analysis : Perform and document analysis, review and study on specified regulatory topics. Understand business change and requirement needs, assess the impact and the cost. Data visual...

Minimum 6 years of working experience in FS Domain as QA with back office experience Hands on Front office middle office trading applications - Equity, Options, Convertible Bonds Good understanding of Trade Life Cycle, FIX protocol Excellent written and verbal communication - Ability to present test plans Issues Demos to mixed audiences - Client, development & business stakeholders Able to write Functional, Integration and Regression test plans for complex requirements Test Automation: experience in developing and maintaining test frameworks using Java Springboot Basic Linux commands Hands-on database querying skills; Experience with relational database (Sybase, SQL server etc.) Exposure wor...

As a Vice President, Project Management, Credit Ris - Hybrid at Citi, you will play a vital role in managing the Book of Work across US Personal Banking Risk. Your responsibilities will include: - Providing on-the-ground support to develop and execute planning, coordination, and day-to-day activities of running the Initiative or programs. - Managing, monitoring, and tracking execution of transformation programs, timing of work streams, deliverables, and other milestones. - Collaborating with other Program Managers to action deliverables from reviews of each program's defined scope, target state, and success criteria. - Identifying and escalating program constraints/risks/issues impacting pro...

Reference 25000JD8 Responsibilities Be open to self update about market changes on Regulatory Data Basic understanding of Upstream & Downstream impact Experience in working on Remediation projects with tight deadlines Good communication skills (Verbal & Non-Verbal) will be an added advantage Basic understanding of MS tools Prior experience in Investment Bank will be an added advantage Required Profile required Fair working knowledge on at least 4+ regulations out of the below : Foreign Account Tax Compliance Act (FATCA) European Market Infrastructure Regulation (EMIR) Markets in Financial Instruments Directive (MiFiD) Securities Financing Transaction Regulations (SFTR) Dodd-Frank Wall Street...

Reference 25000JJO Responsibilities Be open to self update about market changes on Regulatory Data Basic understanding of Upstream & Downstream impact Experience in working on Remediation projects with tight deadlines Good communication skills (Verbal & Non-Verbal) will be an added advantage Good understanding on MS tools Be able to exhibit out of the box thinking and provide solutions Required Profile required Good working knowledge on at least 4+ regulations out of the below : Foreign Account Tax Compliance Act (FATCA) Common reporting standards (CRS) European markets infrastructure regulation (EMIR) Markets in Financial Instruments Directive (MiFiD) Securities Financing Transaction Regula...

You will be joining our team as an Associate in the Trade & Transaction Reporting Operations team. The TTRO Control Chapter Team focuses on delivering the control framework to manage the firm's risk and meet regulatory objectives related to Transaction Reporting accuracy and timeliness. To excel in this role, you will need knowledge of system flows, cash and derivative products, and investment banking operations control principles. **Role Overview:** - Perform business analysis activities to define solutions, utilizing product, process, and technical domain knowledge. - Partner with stakeholders on solution implementation, analyze complex issues, and propose future actions. - Work on remedia...