Associate Regulatory, Reporting and Controls job in New York City, NY| Recruit Arrow
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Title
Associate Regulatory, Reporting and Controls
Location : New York, New York City
Refer job # YIOW337642
 
Job Responsibilities and Requirements: A. Data Quality Identify, review and analyze gaps in regulatory onboarding processes Provide streamlined remediation approaches amongst the various business areas: Compliance, Business Risk, Legal, Tax, Technology, Operations, Collateral Management and Accounts Control Implement efficient processes for data remediation; create and manage quality controls and document procedures to ensure they are followed by the appropriate teams Ensure data quality standards are met and work with the appropriate teams to ensure the completeness and accuracy of data; own the data quality review of key Dodd Frank, Canadian Trade Reporting, MiFID and EMIR Client Databases and resolve data inconsistencies Coordinate client outreach efforts to obtain proper reporting information and consent for regulatory reporting (US, Canada, Europe, Singapore, Hong Kong and Australia). Document procedures for regulatory BAU process for Dodd Frank (Title VII and Volker), Canadian Trade Reporting, MiFID and EMIR to ensure consistent operational workflow Assist in preparation of quarterly metrics for compliance attestation to US and Canadian regulators Assist in preparation of monthly metrics for management B. Documentation Management Manage the receipt and storage of onboarding documents required by BMO, DTCC, SEC, CFTC, ESMA and FATCA Ensure the remediation of gaps in required documentation and coordinate the receipt of the documents with the appropriate groups Work with the appropriate groups related to the implementation of a document repository by providing insight to the technology team with regards to document types, information parameters and aging requirements C. Regulatory Initiative Work with the appropriate groups to identify all clients captured by the new regulatory rule(s)related to the implementation of a document repository by providing insight to the technology team with regards to document types, information parameters and aging requirements Coordinate all aspects of the client outreach including, but not limited to, internal and external communications, logging/tracking of all activities and storage of information Create and distribute metrics for review at the Operations Committee and Steering Committee meetings D. Management Reporting Prepare periodic status reporting to senior management and all stakeholders Coordinate metrics related to data quality and standards; create a management reporting dashboard which will include metrics related to staff efficiency, data quality and operational controls E. Policies and Procedures Document various regulatory processes and procedures including updates and enhancements related to Dodd Frank, Canadian Trade Reporting, MiFID, EMIR and others as required Ensure policies and procedures are current and consistent with regulatory obligations Liaise with various groups (Legal, Compliance, RDP, etc.) in order to remain current on regulatory matters related to CM Client Services procedures Assist with the implementation of regulatory requirements on behalf of Compliance and RDP as needed. Liaison with Audit and Compliance. Facilitates retrieval of required information/ documentation and responds knowledgeably to related questions as necessary. Partners with Lines of Business for issue resolution and compliance to action plans. Interacts with staff of all levels in the Lines of Business as necessary for issue resolution. F. Relationship Management Facilitate retrieval of required information/ documentation and respond knowledgeably to related questions as necessary. Partner with Lines of Business for issue resolution and compliance to action plans. Interacts with staff of all levels as necessary for issue resolution. Ensures delivery of exemplary internal client service by troubleshooting and providing issue resolution in a professional, ethical, and conscientious manner. Knowledge & Skills: Knowledge: An undergraduate degree is required. Graduate degree in a related field is desirable 6 years of relevant experience in the financial services industry in the capacity of Operations, Client Onboarding, AML/KYC or related area. Working knowledge of regulatory requirements such as Dodd Frank, Canadian Trade Reporting (91-507), MiFID and EMIR. 3 years of experience in Data Quality Controls and Data Governance Knowledge of data modeling and centralized data storage capabilities Relevant business experience is highly desired. Knowledge of the organizational offerings and business unit policies and objectives. Skills: Proficient knowledge related to client documentation; can explain the purpose and need of various client document types (tax forms, trading authorizations, beneficial ownership forms, 2111s, etc.) as they relate to specific legal entity types (LLCs, LPs, Corporations, Brokers, Investment Managers, etc.) Proficient analytical skills Ability to conceptualize business initiatives and to guide those initiatives as daily business requirements for the group Ability to have a clear outlook on the entire organization and view potential impact of business and operational risks. Ability to judge the appropriateness of policy proposals and to properly implement regulations and policies. Developed written and oral communication skills. Ability to communicate policies and procedures in a clear and concise manner. Expertise in computer applications including, but not limited to, MS Excel where Lookup functions and Pivot Tables are required). Skills in MS PowerPoint, MS Project and MS Visio is a plus. Strong interpersonal skills used within a demanding team environment and in client interaction. Ability to independently manage multiple priorities and to proactively service multiple clients/groups in a fast-paced environment. Ability to work a demanding schedule Excellent attention to detail and ability to learn and adapt quickly.
 
 
 
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