Regulatory Office Job Description
Regulatory office
provides assurance of Electricity North West legal and regulatory compliance with relevant legal and regulatory processes for the project.
Regulatory Office Duties & Responsibilities
To write an effective regulatory office job description, begin by listing detailed duties, responsibilities and expectations. We have included regulatory office job description templates that you can modify and use.
Sample responsibilities for this position include:
Design and build controlled processes for reporting of data quality, manual adjustments and Other Assets
Prepare quarterly manual adjustments metrics including providing explains as to cause
Document, track and report on the status of regulatory developments identified
Assist with the management and maintenance of the ROO SharePoint Site
Work closely with Project Managers and Legal on new developments and on-going initiatives and Liaise with key stakeholders and subject matter experts in Legal, Compliance, and Commercial Banking
Prepare weekly reporting for various stake holder meetings the Regulatory Flash Reporting and Advocacy Reporting
Create quality presentations, one-pagers and informational slides for management
Provide support and business analysis for projects under the direction of the project manager
Serve as a point of contact and coordinator for internal and external records requests (FINRA, SEC, FRBNY), working with businesses to gather records, ensuring adherence to planning through detailed and timely tracking and monitoring, reviewing quality of outputs, and using good judgment for escalation
Participate in all aspects of the organization’s RIM, with overall responsibility for assessment, inventory, standards, procedures, security, maintenance, preservation, and disposition of all corporate records
Regulatory Office Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Regulatory Office
List any licenses or certifications required by the position: CIP, RAPS, ACRP, CIPP, PRM, FRM, CFA, MDR, EU, US
Education for Regulatory Office
Typically a job would require a certain level of education.
Employers hiring for the regulatory office job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Economics, Engineering, Graduate, Statistics, Accounting, Education, Math, Business, Computer Science
Skills for Regulatory Office
Desired skills for regulatory office include:
Legal terminology
Relevant technology
Annual planning
Anti-Financial Crime
Applicable local regulatory framework and its evolutions
Applicable regulations
Bank
Budgeting
Clinical project management procedures
Compliance issues and challenges specific to his/her territory
Desired experience for regulatory office includes:
Strong grasp of actuarial concepts across a breadth of products and actuarial functions
Strong grasp of statutory and GAAP accounting concepts
Strong organization and time management skills and close attention to detail
Demonstrated initiative and ability to operate constructively through change and ambiguity
Experience working on cross-functional teams and managing complex projects / tasks
Creative self starter with strong initiative, ability to take ownership and work independently contribute to the broader team
Regulatory Office Examples
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Regulatory Office Job Description
Job Description Example
Our company is growing rapidly and is looking for a regulatory office. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for regulatory office
- Provide direct guidance to Records Owners and Records Champions
- Assist in the development and implementation of governance policies regarding information and knowledge and associated procedures, and work with Global counterparts/requirements
- Ensure adequate control and storage of official records, regardless of media, including storage and retrieval of active, inactive and permanent records
- Responsible for identifying and procuring appropriate technology support for the function
- Actively identify continuous improvement opportunities to enhance operational efficiencies through process and metrics analysis
- Identifying and analysing legislative and regulatory proposals on a variety of upcoming financial regulatory change initiatives in terms of application to and impact upon current JPM business
- Review account level metrics
- Enhance the team’s understanding regulatory environment and how those requirements apply to the GSAM organisation
- Represent GSAM Operations within firmwide working groups, covering the implementation of MiFID II, articulating our considerations in this forum
- Ensure upcoming requirements are specified in a manner suitable for the intended audience and are understandable, unambiguous and capable of being implemented and tested
Qualifications for regulatory office
- Ability to execute assignments independently
- Holistic ownership and understanding of transaction and position reporting regulatory regimes, along with external audit reporting requirements from a GSAM Operations perspective
- Oversight of the GSAMi regulatory obligations that govern the functional processes
- Experience in the Finance Industry, ideally Asset Management Operations
- Knowledge of equity products, including both cash equities and derivatives
- Experience with regulatory transaction reporting
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Regulatory Office Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of regulatory office. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for regulatory office
- Partner with the global operations stakeholders to establish the governance and controls required to successfully maintain reporting adherence under MiFID II, leveraging understanding of sound risk management practices
- Provide additional support for the team in meeting existing reporting obligations across a number of regulatory regimes
- Work closely with the fixed income trade support team to understand the trade types and flow to ensure correct reporting
- Conduct T+1 reconciliations for regulatory and internal reporting requirements
- Collect prospectus information from issuers for traded securities that require investigation
- Help maintain information about specific securities
- Conduct various reviews on reported fixed income products to ensure data integrity and reporting logic is correct
- Perform timely reconciliations as required
- Assist with daily fixed income trade support functions and investigations as required
- Delivery of New Regulatory requirements (across global jurisdictions)
Qualifications for regulatory office
- Performing business analysis / process review to propose optimum solution to the Stakeholders
- Facilitate effective communication between all Stakeholders including the business, operations, technology, legal, compliance, treasury and other support groups
- Supporting all facets of the Change Life Cycle
- Previous experience in the Financial Services industry, ideally with supporting Equity Derivatives products
- A self motivated
- Fixed income knowledge preferred
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Regulatory Office Job Description
Job Description Example
Our company is looking for a regulatory office. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for regulatory office
- Working with Business, Legal, Audit, Control and Corporate functions for issues and developments relating to regulations
- Technology deliveries relating to new or enhancements to regulatory reporting
- Process and control mapping
- Escalation and remediation of reporting issues
- Participating in Industry working groups to discuss regulatory requirements, developments and industry best practices
- Continuous review and enhancement of regulatory reporting and control framework
- Focus on a number of key control deliverables across regulatory jurisdictions
- Creating action plans to rectify current reporting issues
- Look at synergies across controls and reporting jurisdictions to ensure control and future scalability
- Attend weekly control meetings to discuss current reconciliation and control performance
Qualifications for regulatory office
- Regulatory experience, inc. MiFID
- Experience delivering large-scale projects across multiple disciplines specifically related to the implementation of technology systems with an Agile delivery model (prior regulatory capital and/or regulatory reporting experience preferred)
- The candidate should possess a solid theoretical knowledge of capital markets products and valuation methodologies, quantitative skills and accounting principles
- Experience and strong knowledge in the use of MS Office Excel (pivot tables/macros), MS Office Visio, MS Office Word, MS Office Outlook, MS Office PowerPoint and MS Office Access
- Experience with business and system processes analysis and data reconciliation
- Flexibility to adapt in a dynamic environment, make quick and sound decisions under pressure
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Regulatory Office Job Description
Job Description Example
Our innovative and growing company is hiring for a regulatory office. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for regulatory office
- Build and maintain relationships with Front Office, Product Control, Legal, Compliance, and corporate
- Able to creates a collaborative working environment, pragmatically balancing governance requirements with delivery focus
- Highly motivated, with a strong desire for continuous learning and new challenges and an ability to cope with pressure and tight timelines
- A highly organised self starter who can demonstrate a sense of initiative and the ability to progress work with minimal support and guidance
- Able to display professionalism in a dynamic environment, coping with shifting priorities and changing responsibilities to meet needs and demands
- A structured, methodical thinker with strong attention to detail and adherence to the highest quality standards
- Prepares and submits regulatory documentation that may include
- Prepares, maintains and organizes Regulatory files for each assigned study in compliance with study sponsor requirement
- Serve as Single Point of Contact (SPOC) in assigned studies for investigative sites, RSU Team Lead, Clinical Operations, Feasibility, Site Identification, Project Management and CST
- May contribute to the collection, interpretation, analysis and dissemination of accurate regulatory intelligence to support assigned studies and wider company, as required
Qualifications for regulatory office
- Prior experience of a control and development role
- Front Office Experience (Ex-trader would be ideal)
- Market Abuse Regulatory knowledge experience is desired (MAD/MAR)
- Previous experience on Regulatory change initiatives - MiFID/EMIR/Dodd-Frank
- Cross Asset knowledge
- Front to back experience
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Regulatory Office Job Description
Job Description Example
Our growing company is looking for a regulatory office. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for regulatory office
- May support importation activities
- May act as Local Regulatory, Ethics and Contract Expert and reviewer of ICF
- May act as mentor, and prepare and deliver country-specific training, for less experienced staff
- Provide Proposal Management with input on proposals and budget development for RSU component of projects
- Where applicable, review and ensure project instructions for RSU projects are complete and accurate, including local requirements as appropriate
- Manage employees in accordance with organization’s policies and applicable laws
- Serve as advisor for designated clients as necessary
- Participate in the selection and on-boarding process for new RSU employees by conducting candidate review and participating in the interview process
- Under general supervision, serve as Single Point of Contact (SPOC) in assigned studies for investigative sites, RSU
- Team Lead, Clinical Operations, Feasibility, Site Identification, Project Leadership and GICS
Qualifications for regulatory office
- Familiar with Industry developments such as Financial Reform and worked with industry participants such as DTCC / ISDA
- Strong securities, derivatives, and trade lifecycle knowledge
- Degree level education or above
- Knowledge of the main aspects of HKMA, CFTC, MAS, ASIC and EMIR trade reporting
- Highly professional and articulate with good engagement skills and the ability to work with people of all levels
- Technical understanding of how systems deliver regulatory reports is desirable