Sales Support & Regulatory Controls Associate - eFinancialCareers : Job Details

We are looking for an experienced Ops professional, preferably with a Sales Support or Regulatory background. You will be joining an investment banking client of ours on an initial 9-month contract, with the expectation to be extended.

The role will require familiarity with industry related directives such as EMIR, MiFID II, SFTR and Dodd-Frank and the candidate will need a keen eye for detail and diligence. Candidates will have a proven track record in delivering strategic controls and process improvement. You will also need a strong ability to manage strong relationships, both internally and externally, to drive enhancements to the client experience.

Specifics of the role will include:

• Help identify areas for improvement and remediation to enhance the Regulatory Control process and Sales Support functions.
• Take an active part in developing and maintaining MIS to track performance and accuracy, oversee and challenge KRIs produced by the Sales Support team in India.
• Manage and resolve regulatory point-of-trade queries from Sales. Regulatory SME review required to ensure data discrepancies are investigated and remediated in a timely manner to ensure trades can be booked.
• Responsible for ensuring efficient trade processing across OTC and Cash products whilst following procedural, control and risk management requirements for the processes.
• Manage relationships with sales teams and trading desks, and business partners such as Global Operation Counterparts and Technology.
• Manage relationships with external clients and vendors, including email and phone query management, initiate client visits for operational review and present MIS reports during client meetings.
• Experience in managing outsourced or offshored teams.

Requirements:

• Familiarity with directives such as Dodd-Frank, EMIR, MIFID II, SFTR.
• Knowledge of all major asset classes: equity, credit, rates, FX cash & derivatives and their data characteristics.
• Ability to communicate effectively at all levels, internally and externally.
• A strong track record in process enhancement and improvement.
• The ability to work independently while supporting the overall goals of the team.