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The Equity Aggregation Specialist is responsible for position monitoring and preparation of non-financial regulatory disclosures under the relevant regulatory reporting laws across multiple regimes (substantial shareholdings, takeovers, short positions, beneficial ownership notices and industry limits) for the Global Markets and Wealth Management business divisions. They are responsible for the analysis and resolution of highly complex operations problems and initiatives requiring exceptional handling and/or coordination of multiple operational and/or product specialists to resolve. They may be required to contribute to various projects and/or the introduction of new initiatives, systems, products/services and processes and coordinate necessary expertise across multiple operations functions and/or products.
• Ensure delivery of complete, accurate and timely regulatory reports to regulatory agencies.
• Executes control practices, including compliance with all regulatory/policy requirements and data quality standards
• Document key risks, performance indicators, desktop procedures including controls and metrics related to reporting. Execute QA/QC and report production tasks for regulatory reports.
• Respond to regulatory agencies and internal control partners on inquiries and reporting breaches
• Participate and represent the reporting function to control partners (e.g., Audit and Compliance)
• Identify, track, and remediate errors/breaches, data issues and control enhancements that impact the respective reports
• Partner with upstream process owners and data providers to improve data quality of regulatory reports
• Partner with NFRR Regulatory Interpretation and Technology teams to review and maintain data dictionaries for completeness of business requirements and ensure completeness of all operational and reporting requirements.
• Assist with NFRR report centralization which includes performing current state assessments, understanding the effectiveness of controls, determining process risks, and executing plans to incorporate the reporting process into the NTCO organization; Ensure smooth transition and cut over of NFRR reports in target state including appropriate hand over and staff transfer.
• Partner with technology team and business analysts in providing requirements and user acceptance testing (UAT).
• Experience in Equity Aggregation Operations or Compliance (also known as Position Reporting, Shareholding Disclosures, Disclosure of Interest)
• Knowledge of key shareholding disclosure rules within the region of coverage
• Strong knowledge of financial markets, banking industry, equities and derivative products.
• High level understanding of global markets and wealth management business divisions.
• Strong technical and data analytical skills (i.e., Excel, and other similar applications) with experience in analyzing, managing and reporting from large sets of structured data (e.g., books and records data).
• Able to produce accurate work output and reports under tight deadlines
• Communicates effectively in both oral and written formats and tailors message appropriately to audience
• Demonstrated intellectual curiosity and operational excellence experience
• Able to think critically to quickly analyze and resolve issues
• Influences and delivers results through collaborative relationship with key partners and stakeholders
• Works independently to prioritize work and deliver against regulatory deadlines and a dynamic environment
• Able to demonstrate a high level of integrity with a mature approach to work
• Discrete when handling confidential information
• Experience interacting with regulatory agencies and /or reg exams.
• Regulatory reporting experience and/or experience in a global markets regulatory reporting environment or exposure to position/transaction processes/life cycle (other than Equity Aggregation)
• Experience in technology implementation projects including involvement in building new or enhancing existing systems to meet complex reporting requirements
Shift:1st shift (United States of America)
Hours Per Week:40
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