Associate Operations Regulatory Reporting.
This mandate is run by SYMPHONI HR, a Mumbai-based executive search firm, est. 2003. Applications are email-verified and reach the search team running the role — confidentially, always.
About the organisation.
Our client is a leading global financial services firm operating across investment banking, markets and wealth management. They serve institutional and retail clients worldwide with a strong focus on operational excellence, risk management and regulatory compliance. The organisation fosters a collaborative, performance-driven culture with significant investment in technology and talent.
About the role.
This role sits within the operations regulatory reporting function and is responsible for ensuring accurate, timely and compliant trade reporting across multiple global regulatory regimes. The successful candidate will oversee trade lifecycle processes, monitor exceptions and manage the interface between front, middle and back office systems. The role is hybrid and based in Mumbai, requiring strong ownership of controls and close partnership with global stakeholders.
What you will do.
- Oversee end-to-end trade lifecycle processes to ensure accurate and complete trade data for regulatory reporting
- Manage trade repository reporting submissions to DTCC Global Trade Repository (GTR) and other designated repositories
- Monitor operational exceptions, investigate breaks and drive timely resolution with relevant stakeholders
- Ensure compliance with reporting obligations under Dodd-Frank, EMIR, MiFID II, MAS, HKMA, JFSA, SEC and CAD requirements
- Design, maintain and test operational controls and risk management frameworks over regulatory reporting processes
- Liaise with front office, middle office and IT teams to resolve system and data issues affecting reporting
- Lead, mentor and manage team members, setting priorities and ensuring quality of deliverables
- Prepare management information, dashboards and regulatory analysis using MS Excel and PowerPoint
- Support internal and external audits, regulatory inquiries and remediation activities
What you bring.
- 8-10 years of experience in operations, regulatory reporting or trade processing within financial services
- Strong understanding of trade lifecycle processes across asset classes
- Hands-on experience with trade repository reporting, preferably DTCC GTR
- Working knowledge of IT infrastructure and Front/Middle Office systems
- Proven experience in operations management and exception monitoring
- Good knowledge of regulatory reporting regimes such as Dodd-Frank, EMIR, MiFID II, MAS, HKMA, JFSA, SEC and CAD
- Strong controls and risk management mindset
- Proficiency in MS Excel, Word and PowerPoint
- Excellent communication and stakeholder management skills
- Prior people management experience is preferred
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