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- Enrich semi structure trades into the system for submission to regulators in a timely and accurate manner
- Monitor exceptions and escalating any anomalies to management and technology team to ensure daily timeliness is not compromised.
- Work closely with other departments to investigate and remediate identified trade exceptions within the outlined timeframe
- Ensure all regulatory reporting are prepared in accordance with guidelines issued by regulators in a timely and accurate manner
- Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
- Maintain consistency of processes & MI across regulatory regimes SFTR, CFTC, SEC, MIFID &
- Identify improvement to processes & drive delivery of change management. Have a clear picture of the day 1 delivery verses the strategic reporting to be delivered.
- Collaboration across teams, regions & time zones to meet the responsibilities of the global team.
- All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
- Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
- Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.
- Work with Regulatory Operations team and passing on key messages from team discussions.
- Share knowledge gained with peers.
- Active participation in driving improvement in processes and services based on gained knowledge
- Be part of the RegOps execution tasks.
- Timely responses to external & internal queries.
Execute tactical and strategic processes in collaboration with Technology & Change teams
Ensure adherence to Process Documents.
Actively participate in group Projects/changes. - Executes prevention, detection, Assurance & oversight processes within the reporting function.
Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
Evolve, improve & question processes and ensure timely escalations of issues. - Compliance
Regulatory Operations Management
Front & Middle Office Teams, Operations, SCI, IDR teams - Display exemplary conduct and live by the Group's Values and Code of Conduct.
Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
Lead the Regulatory unit to achieve the outcomes set out in the Bank's Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.] * - Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- Compliance
Regulatory Operations Management
Front & Middle Office Teams, Operations, SCI, IDR teams - Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
- Good tertiary qualifications (Business Administrations, Economics, Statistics, Accounting will be highly regarded)
At least 3 years' experience in Regulatory Reporting
Good interpersonal and communication skills
Meticulous and strong analytical skills
Knowledge on DTCC or Unavista or HKTR would be an added advantage - Regulatory Reporting
Microsoft Office
Financial Markets Product Knowledge
Team Leader - Kuala Lumpur, Malaysia - Standard Chartered Bank
Description
Role Responsibilities
Regulatory Operations Department is responsible for regulatory reporting to multiple jurisdictions BoE, CFTC, SEC, ESMA, FCA, MiFID, SFTR, HKMA, ASICS and MAS. Your primary responsibility will be:
Strategy
Business
Processes
People & Talent
Risk Management
Governance
Regulatory & Business Conduct
Key stakeholders
Other Responsibilities
QUALIFICATIONS
Our Ideal Candidate
Role Specific Technical Competencies