An excellent opportunity to join a growing Asset Management business. This role is not just a management role but will allow the individual to improve processes, systems and internal stakeholder management.
- Responsible for the hands-on management and oversight of the regulatory reporting obligations which the business and its client base are subject to, ranging from daily transaction reporting to trade repositories to periodic fillings to regulators
- Be proactive in assuming ownership of regulatory reporting deliverables across the business and generate management information for senior management to ensure transparency
- Drive the implementation and integration of quality and oversight controls at pre and post regulatory reporting stages
- Manage the regulatory reporting team, ensuring clear objectives are set for everyone in the team and organizing resources available such that reporting deliverables are completed accurately and in a timely manner
- Provide guidance and support to less experienced members of the team and address training needs
- Manage, resolve and mitigate regulatory reporting related risks and issues
- Collaborate and engage with the relevant business users to ensure solid understanding of the businesses operational, data and systems infrastructure to be able to effectively implement the regulatory reporting obligations
- Develop and maintain policy and procedure documents for all regulatory reporting obligations
- Take the initiative to improve and/or automate regulatory reporting processes and workflows
- Develop and maintain knowledge of the firms’ products and regulatory reporting obligations by staying abreast of changes and new products by attending relevant internal forums or relevant industry forums to proactively consider and assess the impact on our regulatory reporting framework
- Acts with integrity, due skill, care and diligence in carrying out their role.
- Has full understanding and/or awareness of: the businesses Compliance Manual with specific focus on the PA Dealing, Gifts and Entertaining and Conflicts of Interest Policy
- Self-starter with strong organizational skills and proactive work approach / attitude
- Sets high standards of performance for self and strives to meet challenging objectives. Acts with integrity and within both the spirit and the letter of the businesses principles, policies and procedures.
- Considers own role within the commercial and regulatory context and focusses on the client and meeting the businesses regulatory obligations. Respects obligations to internal and external clients and investors and treat clients fairly.
- Displays a positive and energetic attitude, gets involved and proactively seeks out opportunities to advance the business.
- Consistently displays a ‘can-do’ attitude, perseveres in the face of setbacks and remains calm and professional under pressure.
- Establishes and maintains good relationships and works effectively and cooperatively with others. Communicates constructively, engages others positively and readily shares information and ideas.
- Seeks out insightful, smart ideas to raise personal and team standards. Demonstrates the ability to think creatively to find solutions. Responds quickly and positively to change and maintains effectiveness when experiencing change. Invests time in learning new skills and gaining new experiences.