Regulatory Operations Lead Specialist

SIN01200 Requisition #

Team Overview 


The Lead Specialist in Regulatory Operations is primarily responsible for all regulatory reporting that comes under the remit of Operations, ensuring that Schroders has correctly reported to the regulator for the reporting obligation in question, remediating any invalidated or failed reports within the reporting timeframe. She will the key person for regulatory reporting for Operations and other departments, giving out good quality advice on regulatory obligations and required paperwork to departments such as Transitions, Fund Services and Distribution. 


Who we’re looking for 


As a Lead Specialist your key responsibility will be to help ensure our regulatory transaction reports go out to the regulator in a timely manner. As well as having a keen eye to spot any problems, and remediate them, you'll also be able to help the Team Leader identify areas where controls can be improved. 


You thrive in a fast paced environment with an emphasis on meeting tight deadlines. You have a strong interest in learning and harnessing technology. 


As a committed member of a small but critical team, he or she will be relied upon when the Team Leader is not around. As a subject matter expert, he or she provides excellent support to stakeholders such as Distribution, Compliance and Operations colleagues. 


What you’ll do

  • Responsible for the daily submission and reconciliation of trade and valuation data to global trade repository.
  • Investigations and remediation of data validation errors and rejection reports
  • Daily reconciliation of cleared OTC reporting being undertaken by clearing brokers under a delegated reporting mandate
  • Collaboration with the Regulatory reporting team in London to ensure the Company is reporting globally as one
  • Identify problems and triage them, making sure controls are adhered to and exceptions are escalated quickly
  • Collaborate with key stakeholders to make sure we meet their requirements and hit their deadlines. Actively participate in internal working groups relating to regulatory reporting.
  • Make the team more efficient by identifying weaknesses in our process, suggesting and implementing solutions
  • Participate in and drive transaction reporting projects. Review technical documents and work with IT on projects.
  • Be updated with the latest development in the regulatory landscape by participating in industry forums and active engagement with industry bodies, banks and vendors
  • Act as the technical Subject Matter Expert (SME) on matters relating to regulatory reporting requirements and technical specifications. Update colleagues on the regulatory changes and its potential implications on their daily processes. 


The knowledge, experience and qualifications you need

  • Proficiency in Microsoft Excel. Familiarity with advanced formulas and Excel capabilities (such as INDEX, MATCH, nested formulas, Pivot tables)
  • Ability to read and interpret regulations, participate effectively in discussions with Compliance and Legal as an equal stakeholder. Translate and explain said regulations to other stakeholders. Assist IT to translate regulation into technical requirements for change projects.
  • Have a good understanding of operational processes within an Asset Manager or a bank.
  • Must understand the need for a strong control focus and play an active role in suggesting day to day improvements to procedures
  • Able to make routine judgements in uncontentious situations and escalate where required
  • A strong team player able to develop and manage strong working relationships with global internal departments. Proactively assists teammates to achieve team, department and company goals. The team’s success is their success.
  • Technically proficient, comfortable interpreting technical specs and handling large amounts of data 


The knowledge, experience and qualifications that will help 

  • Aladdin experience preferable
  • Wider experience in Asset Management and understanding of the end to end asset lifecycle. Familiarity with FX and Derivatives.
  • Project and Business Change experience
  • Experience of working with regulatory transaction reporting, particularly with ASIC, EMIR and MAS requirements
  • Proficiency with Excel macros 


What you’ll be like

  • Good at analysing and solving problems with a strong attention to detail
  • Effective in managing your own time with ability to prioritise tasks
  • Open to feedback, receptive to change, challenges status quo and continually looks out for team and self improvement
  • Responsible and committed team player
  • Able to adapt to changes quickly and possesses a strong sense of initiative
  • Willingness to go above and beyond, to ensure that key project delivery deadlines are met. Commitment to delivering high standards of work   

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