Disclosure of Interest Compliance Advisory

Disclosure of Interest Compliance Advisory

Requirements

• Understanding of relevant regulatory approach in USA and the Americas (with particular reference to SEC, FINRA and Fed), with broad understanding of the global regulatory approach
• Understanding of the business model and operational setup of a global financial institution, including regulatory structure, business mix, investment structures and booking models and equity-related products
• Experience in identifying and interpreting changes to relevant laws or regulatory guidance, analyzing and communicating impact to stakeholders
• Ability to review and challenge proposals to ensure that there has been adequate consideration of regulatory requirements
• Ability to track and interpret industry trends
• Ability to work with global colleagues to develop and implement global standards and frameworks for governance and management of regulatory obligations
• Ability to build relationships of trust with members of the Legal and Compliance Division and stakeholders from business units and support and control functions
• Excellent analytical, program management numerical and data skills
• Excellent communication skills, both oral and written
• Detail oriented and good memory skills
• Ability to work independently and drive projects and initiatives
• Ability to remain focused under pressure
• Ability to perform multiple tasks simultaneously
• Confidence to use own initiative and apply judgment
• Strong desire to learn new subject matter
• Excellent interpersonal skills, confidence, and credibility
• The ability to work very effectively within an organization and communicate with senior and junior business and control function personnel

Responsibilities

• Monitoring, tracking, and documenting regulatory changes according to the Firm’s Enterprise Minimum Standard Procedure (ERMF) across all regulations covered by the team
• Conducting annual reviews of updates to the aosphere Shareholding Disclosure (DOI) memoranda, jurisdiction reviews, and providing updates to Operations’ rule traceability matrix
• Partnering with DOI Ops to focus on large position concentrations, trade pre-clearance and monitoring, large position reporting obligations under Sections 13 and 16 of the Exchange Act, various US state and sensitive industry regulations, and issuer-specific limits, as well as other Americas jurisdictions, including Brazil, Canada, Mexico, and Argentina
• Providing oversight of DOI Ops programs to ensure satisfactory regulatory compliance across all in-scope entities, asset classes, products, and related processes, such as booking models and management agreements in relation to the wide range of relevant securities, industry and corporate issuer regulations
• Periodically reviewing Operations policies and procedures to ensure they meet regulatory obligations and overseeing necessary changes
• Developing expertise to provide real-time advice across all primary and secondary coverage areas, supporting the team leads and becoming a substantive SME
• Serving as an escalation point for incidents impacting the Firm’s regulatory obligations
• Advising Technology and Data to enhance relevant Firm systems for regulatory requirements
• Conducting testing and monitoring, leveraging the Compliance Testing Team for comprehensive initiatives
• Reviewing Internal Audit and Compliance Testing findings, developing remediation plans, and monitoring execution
• Providing training for new and existing rules and processes
• Supporting projects with data analytics expertise
• Participating in Industry working groups

Preferred Qualifications

No preferred qualifications provided.