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Regulatory Reporting, Associate
DWS Investment
posted 4mon ago
Job Role Insights
Key skills for the job
Job Description
- Fully understand and be able to provide knowledge ownership of US regulations, such as, CFTC Dodd Frank, SEC Swap Based Securities Dodd Frank, Volcker, Reg W, FINRA 2111, FINRA 4210, Reg D/QIBs, Foreign Bank Certificates, 15a6 and Reg O Business Management etc.
- Work with Compliance and Legal on exception and/or escalations cases and see them through to completion.
- Review and QA sample of Run-the-Bank (RTB) cases to ensure regulations are being implemented correctly.
- Management of daily control reports which includes working with offshore teams to investigate and analyse the exceptions, identify remediation steps, and follow up with internal or external stakeholders until exceptions are resolved.
- Responsible for creating and/or updating Key Operating Procedures and incorporating new regulatory changes as needed
- Work with Client Onboarding (COB) team members when exceptions are identified to see through resolution
- Training of COB team members for any new regulatory changes
- Be able to identify and raise up risk items to management
Your Skills and experience
Skills You ll Need
- Motivated and self-starter is a must
- Ability to think not only in black and white but also be able to think analytically in grey areas by utilizing resources at hand (i.e., Key Operating Procedures, reading through regulations etc.)
- Ability to work in a non-structured environment, knowing what task the next priority is without being told.
- Knowledge/exposure of US regulations within an operational or control department within a banking environment, or within a similar operational regulatory function
- Knowledge and/or experience in a financial institution. Understanding of the workings of an investment bank and the lifecycle of a trade is a plus.
- Knowledge of Client Onboarding and Regulators is a plus
- Ability to identify issues and assess root causes and provide solutions with a proven level of analytical, problem solving and resource planning skills
Skills That Will Help You Excel
- Knowledge of MS suite of products, including the ability to use basic Excel functions such as pivot tables, VLOOKUPs, etc.
- Competent business user of MS products and Outlook. Internet liberate to enable online searches. Must know MS Excel. Knowledge of Markit ISDA Amend is a plus
- Knowledge of Reference Data Systems and Regulations along with product and end-to-end system knowledge is a plus
How we ll support you
- Training and development to help you excel in your career
- Coaching and support from experts in your team
- A culture of continuous learning to aid progression
- A range of flexible benefits that you can tailor to suit your needs
Employment Type: Full Time, Permanent
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