Client Regulatory Middle Office (RMO) team is responsible for overseeing company’s regulatory reporting and providing subject matter expertise within various regulatory reform initiatives and external audits. The team serves as the regulatory interface for internal and external business partners including Regulators, Auditors, Fund Administrators, Custodians, Controllers, Legal, Compliance, Trading Desks, Client Relationship Management, Technology, and other Operational teams. The RMO team provides oversight and governance over regulatory filings and along with assessing potential impacts from business change events.
- Holistic ownership and understanding of transaction reporting regulatory regimes, along with external audit reporting requirements from a Team Operations perspective.
- Provision of regulatory functional expertise pertaining to reporting, filing, exception management processing and auditing (e.g. Monetary Authority of Singapore (MAS), Australian Securities and Investments Commission (ASIC), Malaysia Securities Commission to name a few)
- Oversight of the company regulatory obligations that govern the functional processes
- Ensure the requirements are specified in a manner suitable for the intended audience and are understandable, unambiguous and capable of being implemented and tested.
- Pro-actively review processes in an effort to gain efficiencies and improved risk oversight
- Defining clear and comprehensive timelines, estimating and planning tasks that are inter-dependent to meet objectives
-Minimum of 2 years of work experience
-Regulatory experience impacting the Asset Management Industry in APAC
-OTC Derivatives Transaction Reporting experience to MAS(Monetary Authority of Singapore) or ASIC (Australian Securities and Investments Commission)
-Experience in the Finance Industry, ideally Asset Management Operations
-Fund accounting experience
-Risk management focus
-Trade life cycle knowledge & OTC Derivatives product expertise
-Excellent interpersonal skills and the ability to forge strong relationships with internal and external clients
-Strong verbal and written communication skills with the ability to influence a wide range of stakeholders
-Experience with change management or process improvement