Job Description
Role Responsibilities
Regulatory Operations Department is responsible for regulatory reporting to multiple jurisdictions BoE, CFTC, SEC, ESMA, FCA, MiFID, SFTR, HKMA, ASICS and MAS. Your primary responsibility will be:
• Enrich semi structure trades into the system for submission to regulators in a timely and accurate manner
• Monitor exceptions and escalating any anomalies to management and technology team to ensure daily timeliness is not compromised.
• Work closely with other departments to investigate and remediate identified trade exceptions within the outlined timeframe
• Ensure all regulatory reporting are prepared in accordance with guidelines issued by regulators in a timely and accurate manner
Responsibilities
• All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
• Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
• Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.
• Timely responses to external & internal queries.
• Assist with building tactical and strategic processes and collaborate with Technology & Change teams to deliver strategic metrices.
• Ensure adherence to Process Documents including regular up-dation and execution of the same.
• Ensure robust control framework is enriched and followed by Regops team.
• Manage team work allocations and quality delivery.
• Actively participate in group Projects/changes
Strategy
• Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
• Maintain consistency of processes & MI across regulatory regimes SFTR, MIFID &
• Identify improvement to processes & drive delivery of change management. Have a clear picture of the day 1 delivery verses the strategic reporting to be delivered.
• Collaboration across teams, regions & time zones to meet the responsibilities of the global team.
Business
• All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
• Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
• Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.
Processes
• Work with Regulatory Operations team and passing on key messages from team discussions.
• Share knowledge gained from CRO & RM space with peers
• Active participation in driving improvement in processes and services based on gained knowledge
• Be part of the execution of the core CRO tasks.
People & Talent
• Timely responses to external & internal queries.
• Execute tactical and strategic processes in collaboration with Technology & Change teams
• Ensure adherence to Process Documents.
• Actively participate in group Projects/changes.
Risk Management
• Executes prevention, detection, Assurance & oversight processes within the reporting function.
• Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
• Evolve, improve & question processes and ensure timely escalations of issues.
Governance
• Compliance
• Regulatory Operations Management
• Front & Middle Office Teams, Operations, SCI, IDR teams
Regulatory & Business Conduct
• Display exemplary conduct and live by the .
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Lead the Regulatory unit to achieve the outcomes set out in the Bank's Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.]
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Key stakeholders
• Compliance
• Regulatory Operations Management
• Front & Middle Office Teams, Operations, SCI, IDR teams
Our Ideal Candidate
Qualifications
• At least 7 years' experience in Regulatory Reporting
• Good interpersonal and communication skills
• Meticulous and strong analytical skills
• Knowledge on DTCC or Unavista or HKTR would be an added advantage
Role Specific Competencies
• Regulatory Reporting
• Microsoft Office
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 160 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we can't wait to see the talents you can bring us.
Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we:
• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle , continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Be better together , we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
• Core bank funding for retirement savings, medical and life insurance , with flexible and voluntary benefits available in some locations
• Time-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with with minimum global standards for annual and public holiday, which is combined to 30 days minimum
• Flexible working options based around home and office locations, with flexible working patterns
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning
• Being part of an inclusive and values driven organisation , one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential
Regulatory Operations Department is responsible for regulatory reporting to multiple jurisdictions BoE, CFTC, SEC, ESMA, FCA, MiFID, SFTR, HKMA, ASICS and MAS. Your primary responsibility will be:
• Enrich semi structure trades into the system for submission to regulators in a timely and accurate manner
• Monitor exceptions and escalating any anomalies to management and technology team to ensure daily timeliness is not compromised.
• Work closely with other departments to investigate and remediate identified trade exceptions within the outlined timeframe
• Ensure all regulatory reporting are prepared in accordance with guidelines issued by regulators in a timely and accurate manner
Responsibilities
• All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
• Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
• Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.
• Timely responses to external & internal queries.
• Assist with building tactical and strategic processes and collaborate with Technology & Change teams to deliver strategic metrices.
• Ensure adherence to Process Documents including regular up-dation and execution of the same.
• Ensure robust control framework is enriched and followed by Regops team.
• Manage team work allocations and quality delivery.
• Actively participate in group Projects/changes
Strategy
• Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
• Maintain consistency of processes & MI across regulatory regimes SFTR, MIFID &
• Identify improvement to processes & drive delivery of change management. Have a clear picture of the day 1 delivery verses the strategic reporting to be delivered.
• Collaboration across teams, regions & time zones to meet the responsibilities of the global team.
Business
• All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
• Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
• Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.
Processes
• Work with Regulatory Operations team and passing on key messages from team discussions.
• Share knowledge gained from CRO & RM space with peers
• Active participation in driving improvement in processes and services based on gained knowledge
• Be part of the execution of the core CRO tasks.
People & Talent
• Timely responses to external & internal queries.
• Execute tactical and strategic processes in collaboration with Technology & Change teams
• Ensure adherence to Process Documents.
• Actively participate in group Projects/changes.
Risk Management
• Executes prevention, detection, Assurance & oversight processes within the reporting function.
• Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
• Evolve, improve & question processes and ensure timely escalations of issues.
Governance
• Compliance
• Regulatory Operations Management
• Front & Middle Office Teams, Operations, SCI, IDR teams
Regulatory & Business Conduct
• Display exemplary conduct and live by the .
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Lead the Regulatory unit to achieve the outcomes set out in the Bank's Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.]
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Key stakeholders
• Compliance
• Regulatory Operations Management
• Front & Middle Office Teams, Operations, SCI, IDR teams
Our Ideal Candidate
Qualifications
• At least 7 years' experience in Regulatory Reporting
• Good interpersonal and communication skills
• Meticulous and strong analytical skills
• Knowledge on DTCC or Unavista or HKTR would be an added advantage
Role Specific Competencies
• Regulatory Reporting
• Microsoft Office
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 160 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we can't wait to see the talents you can bring us.
Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion. Together we:
• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle , continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Be better together , we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
• Core bank funding for retirement savings, medical and life insurance , with flexible and voluntary benefits available in some locations
• Time-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with with minimum global standards for annual and public holiday, which is combined to 30 days minimum
• Flexible working options based around home and office locations, with flexible working patterns
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning
• Being part of an inclusive and values driven organisation , one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential
💡 Quick Summary
Seeking a career-building opportunity? The Manager| Regulatory Ops position is now open for candidates interested in the Bank Jobs sector. This role in Bengaluru offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.
