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Equities Operations Regulatory Reporting Vice President



Legal, Operations
Bengaluru, Karnataka, India
Posted on Thursday, July 11, 2024

Job Description

Job Description – Equity Operations Regulatory Reporting Lead

Process Overview

Equities Operations Middle Office group, as part of CIB Operations, provides support to a wide range of external and internal businesses. It also provides best-in-class operational processing capabilities.

The Regulatory Transformation Team is responsible for implementing industry-driven & firmwide system/ platform changes. It also supports implementation of changes in the regulatory rules and strategic/ business initiatives globally.

Job Responsibilities

The candidate would lead the Equities Operations Regulatory reporting transformation team and would be responsible for end to end implementation of the change management agenda as below.

  • Direct, lead and manage workload of direct reports in the Reg Transformation to deliver the global Book of Work
  • Role involves leading requirement analysis, testing and post go live checks for new regulations, changes to existing regulation, strategic system transformation, migrations and NBIAs
  • Leading remediation initiatives in partnership with technology team to address reporting data quality issues Governance / Monitoring on key Regulatory Metrics
  • Recruit, and Mentor team members to cultivate their skills in role core competencies
  • Project Lead managing the delivery of projects for Global Equities Operations, including requirement gathering, managing execution of test strategies, and go-live preparation in accordance with the Team’s best in class protocols
  • Role encompasses business analysis to identify, assess, and articulate near-term business needs, advise businesses on options, risks, and costs of technology solutions versus benefits
  • Proactively communicate global and local business requirements/priorities to key stakeholders; solicit feedback and obtain sign-off on project documentation.
  • Facilitate implementation of new functionality through training sessions, demos, and the development of training material.
  • Regular presentation of project progress, risks, and issues to diverse groups of senior management
  • Improving our team’s use of Project data, incorporating into management presentations and trend analysis, using MIS applications (Including Qlikview, Alteryx and Tableau)
  • Participate in Issue Prioritization forums
  • Project Resource Management
  • Vendor Management
  • Budget planning, Representation on Senior Control Forums, Internal / External Audit monitoring, Action Plan tracking and closure

Required qualification, skills and capabilities:

  • Previous experience in the Financial Services industry with strong understanding of Equity Derivatives products
  • Excellent Business Analysis skills to drill down the complex Regulatory Reporting requirements for multiple jurisdictions
  • Excellent problem solving skills in order to identify, understand and address operational and technical issues
  • Strong communication skills, both written and verbal, including the ability to develop relationships across the various stakeholders including Senior Business executives
  • A self-motivated individual who is able to deliver with minimal supervision, whilst also working effectively as part of a team
  • Strong product knowledge; thorough understanding of the end to end transaction cycle for derivative products
  • Ability to work in a high pressure environment with time critical deliveries
  • Control mindset to identify process control gaps, prioritize & mitigate operational risk
  • Effective stake-holder management
  • CA/ MBA with 13-14 years / Graduate or Post-Graduate with 15-16 years’ experience in operations.
  • Familiarity with a global bank's process & operational environment including management and external reporting is a must. Strong business knowledge i.e. Investment Banking, including OTC product, process and system knowledge.
  • Skilled in identifying talent, recruiting, coaching, mentoring, and developing team members
  • Skilled in MS office applications including Outlook, PowerPoint, Excel, Word, Access and Project


  • Flexibility for travel to region ( APAC / EMEA / Americas) for period of 2-3 months within short notice in case of business requirements.