Note - This is a 4-6 months contract role
The client team is responsible for:
- Implementation of new regulatory reporting initiatives and enhancements
- Control and exception management on swap dealer reports
- Industry level advocacy across multiple trade associations
- Partnering across Markets to remediate regulatory issue
About the role
- Oversee and ensure the day-to-day delivery of complete, accurate and timely reporting as defined by relevant APAC regulations and industry best practice
- Monitor daily reporting control exceptions and metrics and work with key stakeholders across the Middle Office, Business, Technology as well as Legal and Compliance to remediate any gaps
- Ensure effective Governance of APAC regulatory reporting obligations by providing transparency to key stakeholders within Operations, Technology, the Business, Legal and Compliance and timely escalation of reporting issues
- Proactively investigate exceptions and incidents as well as conduct ad-hoc data quality checks. Conduct data analysis on large data sets to identify root causes of complex issues and advise on remediation plans
- Support addressing questions from both external (regulators, industry bodies) and internal stakeholders (the Business, Legal and Compliance, Internal Audit)
- Collaborate with peers in the global ORC team in the development, prioritization and execution of a coordinated global book of work delivering new regulatory requirements, enhancements, efficiency gains, control improvements and transparent metrics
- Manage the successful delivery of regulatory projects, fixes and enhancements through a structured approach, using the appropriate project management tools and artifacts (e.g. Business Requirement Documents, Risks and Issues trackers, Project Status updates, Test Plans etc.)
- Provide clear and concise updates on the progress of regulatory projects and initiatives by appropriately tailoring the communication to different audiences
- Represent the organization in APAC industry forums and in interactions with counterparties, vendors, solution providers and regulators
- Ensure ORC procedures and controls are in place and adhere to the company's global Risk & Control as well as Global Regulatory Reporting policies
Requirements
Product Knowledge:
- Deep and comprehensive understanding of OTC derivatives products spanning multiple major asset classes (Interest Rates, FX, Credit, Commodities, Equities).
- Expertise in trade lifecycle complexities, including valuation, clearing, settlement, and novation processes.
Subject Matter Expertise:
- Extensive knowledge of G20 financial regulatory reforms with a strong focus on transaction-level regulatory reporting (EMIR, Dodd-Frank, SFTR, MiFIR, ASIC, MAS, HKMA).
- Experience interpreting and implementing complex regulatory requirements and experience delivering solutions to APAC Regulatory requirements, such as trade reporting in major APAC jurisdictions (ASIC, MAS, HKMA)
Experience:
- Minimum 15 years of progressive experience in the financial industry within Regulatory Reporting, Derivatives Operations, or Business Analysis, with a proven track record of regulatory project delivery.
- Prior experience leading cross-functional regulatory projects and managing end-to-end regulatory reporting frameworks.
- Hands-on involvement with regulatory bodies, industry forums, and audit processes including interaction with external regulators and internal audit teams.
Organizational & Leadership Skills:
- Exceptional multitasking and time management skills to effectively manage competing priorities under tight deadlines in a highly dynamic environment.
- Proven leadership in driving process improvements, operational risk mitigation, and change management initiatives.
- Motivated self-starter with strategic thinking capabilities and the ability to foster collaboration and accountability within matrix teams.
Analytical & Technical Skills:
- Advanced analytical capabilities with proficiency in mining and analyzing large complex datasets to uncover root causes and design remediation solutions.
- Strong expertise in SQL, VBA, and data visualization tools (Power BI, Tableau) for reporting automation and enhanced control monitoring.
- Advanced user of Excel, PowerPoint, Visio, and familiarity with business intelligence tools capable of designing dashboards and metrics for regulatory compliance reporting.
- Experience working in Agile and/or DevOps environments skilled in authoring detailed documentation including BRDs, test plans, and project status reports.
Certifications & Qualifications:
- Project management certifications required (PMP, PRINCE2, Lean Six Sigma, Agile Scrum).
- Relevant regulatory and compliance certifications (ACAMS, CFA, FRM, CBAP) are required - if not certified then equivalent experience can be considered
- Formal training or experience in risk management frameworks and internal controls
Desirable:
Proven track record managing large-scale data quality, trade reporting, or control remediation programs.
Previous exposure to vendor management and regulatory technology (RegTech) platforms supporting reporting and compliance functions.
