Regulatory Analyst - APAC Shift

The Reference Data Services Analyst 2 is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results, defines business issues and formulates recommendations on policies, procedures or practices. Integrates established disciplinary knowledge within own specialty area with basic understanding of related industry practices. Good understanding of how the team interacts with others in accomplishing the objectives of the area. Develops working knowledge of industry practices and standards. Limited but direct impact on the business through the quality of the tasks/services provided. Impact of the job holder is restricted to own team.
Responsibilities:
Responsible to perform disclosure obligations, including Substantial Shareholdings, Takeover disclosures
Responsible for preparing and submitting accurate and error free disclosure forms
Ensure that all daily DOI jurisdictional positions reports are prepared delivered to internal stakeholders before the SLA deadlines
Maintain, implement, and continuously improve procedures and controls for shareholder disclosures
Day to day oversight and contribution to creation and maintenance of customer accounts, security and pricing data within multiple systems across multiple teams.
Identify opportunities for improvements to quality of data and client service levels
Acts as backup for manager
Provides direction and guidance to team, evaluating performance, making recommendations and identifying training requirements.
Responsible for the successful management and delivery of project initiatives and for the supervision of junior staff to ensure delivery of their tasks which contribute to the projects.
Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Qualifications:
2-4 years of relevant experience in client/counterparty/account data management within a global financial services organization
Strong research and analytical skills in addition to a strong technical aptitude
Strong written and verbal communication skills
Must be a self-starter, flexible, innovative and adaptive
Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
Strong project management and organizational skills and capability to handle multiple projects at one time
Proficient in MS Office applications (Excel, Word, PowerPoint)
Advanced analytical skills
Advanced Excel skills
Previous experience of DOI either in an operational or advisory capacity is preferred
Knowledge of Compliance laws, rules, regulations, risks and typologies is optional.
A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects is preferred.
Education:
Bachelor’s/University degree or equivalent experience
#LI-EH3
Analyzing and checking disclosure of interest data and if necessary, preparing DOI filings for review and submitting filings to the appropriate regulatory body and/or other interested parties as required under relevant regulation.
Escalating any issues or concerns identified and providing input on potential corrective action plans designed to address issues that are identified.
Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
Additional duties as assigned.
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Job Family Group: Operations - Services
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Job Family:Reference Data Services
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Time Type:Full time
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Most Relevant Skills Please see the requirements listed above.
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Other Relevant Skills For complementary skills, please see above and/or contact the recruiter.
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