Compliance Reporting

Gratitude Inc

2979 Views

17 hours ago

9-10 Year(s)

Manila

Job Description

Key Skills

compliance analyst

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Roles & Responsibilities

Ensure adherence of operational procedures to complete task in an accurate and timely manner.

Support the Manager/s in the objective to provide top quality operations in support of this global business.

Document procedures and identify requirements for additional controls.

Provide training to new hires.

Prepare file in accordance with internal control checklist for items applicable to that particular portfolio.

Investigate, resolve and substantiate key differences in reconciliations between client vs fund manager

Review rules setup and acts as a control point toward achieving that the rule is working as per client requirement.

Able to interpret client mandate and changes, if any, and accordingly provide functional input to code the rules or make necessary changes to any existing rules.

Act as a change agent and provide technical expertise to key projects/initiatives in the compliance reporting function.

Act as a key linkage point with the OSD teams & other stakeholders. Is able to provide an e2e view of the rule coded, whether it is working properly and resultant breaches if any.

Provide innovative solutions to client requirements (including coding the Compliance Reporting application) in sync with optimization of the rule library in place.

Is able to appreciate specific client nuances successfully and provide an appropriate & optimal solution to meet objectives.

Maintain existing fund “rules” within the system and tailoring available solutions to the changing needs of the client in a timely manner.

Investigate investment guideline breaches with the investment manager to assist the client in the breach resolution process.

Keep up to date with industry practice, product development and evolving regulations.

Provide overall supervision / leadership to the staff during his/ her shift operating window.

Monitor and report shift and site/ shift performance.

Review staffing and volume trends to ensure the optimal capacity plan is in place.

Foster information sharing so that continuity of data exists within the site and across the business.

Develop an environment of continuous focus on quantifiable productivity and quality.

Constant and regular review of processes and performance with focus on improving departmental competency / performance rating.

Regular reviews of procedures assuring new processes are documented

Identify business knowledge gaps and ensure everyone has ownership of deliverables.

Constant and regular review for direct reports. Set expectations with direct reports, regarding positive motivation and leading through accountability.

Develop and lead a team that is responsive to dynamic organizational and operational changes.

Skills & Qualifications

Graduate/Post Graduate with minimum of 10 years work experience in Banking/Finance or related industries

Knowledge of financial instruments and their accounting treatment is a plus

Coding or report writing experience, ideally with logic-based database systems

Excellent financial market and instrument knowledge

Compliance reporting product knowledge

Role

Data Analyst

Timings

Night Shift (Permanent)

Industry

BPO

Work Mode

Work from office

Functional Area

Analytics & Business Intelligence

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