Responsibilities:
- Responsible for analysis of shareholder disclosure obligations, monitoring of holdings across various industry & foreign ownership limits, Short sell reporting, beneficial ownership transparency disclosures, trade approvals & advise to business
- Performing impact analysis on the firm's shareholdings before finalizing and submission of regulatory reports.
- Preparing and submitting regulatory filings (along with transaction & position reconciliations, when applicable)
- Reviewing, implementing & updating control procedures for new products & regulations
- Compiling tailor-made holdings reports for business groups and external parties on an ad-hoc basis
- Providing approval to trade on restricted securities
- Supporting audit and regulatory requests for information
- Preparing MIS reports for management on a regular basis
Required qualifications, capabilities, and skills:
We are looking for someone excited to join our organization. If you meet the minimum requirements below, you are encouraged to apply to be considered for this role.
- 5- 9 years’ of experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Regulatory reporting.
- Knowledge of equites, Corporate Actions and derivatives products is a plus.
- Strong equity & equity related products knowledge, understanding of trade booking and flows and structured products
- Strong analytical, workflow and data interpretation skills and Experience in dealing with large data sets and supporting reconciliations
- Strong relationship building skills to influence/negotiate desired outcomes. Excellent interpersonal skills necessary to work effectively with colleagues and senior management. Strong verbal/written communication.
- Ability to deep-dive and investigate issues to see a successful resolution. Self-reliance and willingness to "own" problems and creatively find solutions
- Experience with the build out and execution of a new team or procedures, ability to identify risks and issues and successfully navigate through to completion.
Preferred Qualifications, Capabilities, and Skills:
- Experience in corporate actions, equities settlements, trade reconciliation regulatory reporting & monitoring.