Regulatory Controls - Associate

Join our Regulatory Operations CoE, serving private clients worldwide from offices in the US, Europe, and Asia. As part of the Asset & Wealth Management LoB, you'll work within the Regulatory Controls team, ensuring adherence to the Global Control framework. Based in India, this role offers extensive cross-functional exposure and the chance to creatively solve problems across EMEA, APAC, and North America. Collaborate with Lines of Business, Legal, Compliance, Audit, and Technology for a comprehensive view of Asset and Wealth Management.

As a Control Associate within the Regulatory Controls team, you will be responsible for providing central oversight, governance, and advocating the adoption of the operating model and adherence to the Global Control framework across Lines of Business. You will have the opportunity to creatively problem solve on a broad scale and partner extensively with the Lines of businesses, Legal, Compliance, Audit, and Technology.

Job responsibilities

• Drive the design, delivery and implementation of strong and sustainable control frameworks and operating models in the regulatory reporting environment.
• Drive the execution of Control activities within the Operations Regulatory Reporting space
• Provide oversight on regulatory reporting issues / breaches, ensuring that root causes are understood and remediation plans in place
• Oversee product ownership of applications used for implementing Control processes
• Conduct trainings and roadshows
• Facilitate and lead periodic calls with cross line of business, cross regional stakeholders
• Conduct deep dive on aspects of the Regulatory Reporting Controls environment
• Plan and report status of ongoing projects and tasks to senior management.
• Identify, mitigate and resolve risk and issues across teams, ensuring escalations to the right levels where required
• Manage stakeholder expectations effectively, facilitate decision-making by providing right level of information and timely escalation when required.

Required qualifications, capabilities and skills

• Understanding of Transaction Reporting for MiFID, CFTC, HKMA, MAS, SEC & EMIR
• Significant knowledge of operational processes and controls, with ability to access the risk, controls and quality assurance functions
• Good understanding of the EMEA, APAC & NA regulatory environment
• Excellent project management skills with the ability to plan, prioritize and deliver against deadlines
• Ability to negotiate and influence different levels of stakeholders
• Proven ability to collaborate with partners across multiple disciplines, functions and locations
• Logical and structured approach to planning and problem solving and decision-making
• Ability to prioritize and deliver against deadlines
• Good Microsoft Office skills – Excel, Word and PowerPoint
• Capacity to think laterally and convey an understanding of the big picture

Preferred qualifications, capabilities and skills

• Prior experience in Private Banking, Regulatory Reporting, Intelligent Automation or Process Improvement would be beneficial