Regulatory Operations – Client Assets Analyst
hace 4 semanas
This institution is a leading global financial entity offering a wide array of services including investment banking, asset management, and private wealth management. Renowned for its commitment to customer service, integrity, and fostering sustainable economic growth, it operates a worldwide network aimed at serving corporations, institutions, governments, and individuals. With a legacy of excellence and innovation, it is focused on turning insights into opportunities, providing expert advice, and delivering comprehensive solutions across both public and private markets. KEY RESPONSIBILITIES Execute non-financial regulatory reporting obligations, particularly CASS. Analyze reporting exceptions and coordinate remediation and corrective actions with Operations, Remediation, and Engineering teams. Manage daily Client Money and Custody shortfalls for EMEA Client Assets entities. Engage in CASS breach management, remediation, and reporting to the FCA. Ensure that relevant Client Assets procedures are effectively designed and operated. Facilitate the Monthly Client Money and Asset Return (CMAR) reporting to the FCA. Liaise with various CASS community teams on daily calculations and manage escalations. Maintain up-to-date knowledge of Client Assets rules and their interpretation. Participate in the implementation of rule changes affecting Operations teams. Support projects and business initiatives impacting Client Assets obligations. Contribute to Client Asset commercial initiatives. Develop Business Intelligence skills for daily processes and long-term projects. Collaborate across multiple business lines and stakeholder groups on strategic initiatives. SKILLS AND EXPERIENCE Bachelor's degree with at least 2 years of experience in financial services. Strong analytical skills with an ability to understand complex workflows and meticulous attention to detail. Excellent communication skills, with the ability to clearly articulate issues and ideas and provide timely escalation. Strong interpersonal skills to build effective relationships with key stakeholders both within and outside of Operations. Self-motivated, proactive team player with strong organizational skills and the ability to manage competing priorities within deadlines. Flexibility and ability to work well under pressure in a team environment. PREFERRED QUALIFICATIONS Basic understanding of the financial markets regulatory landscape. Knowledge of financial markets and associated processes. Familiarity with financial products such as equities, fixed income, exchange-traded derivatives, and OTC derivatives. Experience in operational functions such as asset servicing, equities/fixed income settlements. Interest in data analysis, process automation, and BI tools. This opportunity offers the chance to be at the forefront of regulatory operations within a leading financial firm, where the successful candidate will play a pivotal role in ensuring compliance and enhancing operational efficiency across the business.
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