Controllers - Regulatory Controllers - Vice President - Bengaluru

The Asset & Wealth Management Regulatory Controllers (AWM-RC) team’s key responsibility is to assist AWM in ensuring compliance with applicable global (US, EMEA and APAC) regulatory requirements, supporting the regulatory change environment and maintaining relationships with key internal stakeholders including the portfolio managers/COOs, risk management, legal, compliance, operations, technology and finance as well as other external stakeholders including regulatory reporting vendors and regulators globally.

AWM-RC partners with these stakeholders to onboard, interpret and implement new/changing regulatory requirements, report to regulators to comply with global regulations including but not limited to Dodd-Frank requirements (Commodity Futures Trade Commission, Volcker and Securities and Exchange Commission), European Union’s Alternative Investment Fund Management Directive, European Union Money Market Fund Reporting and Luxembourg’s Commission de Surveillance du Secteur Financier (CSSF) risk reporting, and support new/additional regulatory reporting obligations from AWM’s acquisitions, new fund launches and business and system change management.

AWM-RC is also responsible for oversight of regulatory reporting preparation vendors, leveraging our breadth of knowledge across the businesses and products (fixed income, equity, quant etc.), and global regulatory requirements involving complex models including notional exposure for all derivative types, counterparty exposures, portfolio liquidity, market risks, core accounting data sets etc. AWM-RC sets regulatory reporting policies for implementation by vendors and data owners, perform final review and submission of reports prepared by reporting vendors.

YOUR IMPACT

Key responsibilities include:

• You will be part of a global dynamic team responsible for submitting quality filings with respective global regulators on a recurring basis. You are expected to contribute to the team’s overall objective. take actions to make the filing process more efficient/effective and execute on those recommendations.
• You will collaborate with different trading desk(s), functional datasets and regulations. You are expected to become a subject matter expert and maintain stakeholder relationships for each of the areas of responsibility. You will also interact directly with the portfolio managers/COOs to review and approve the reports prior to submission and assist in investigating data quality and resolving issues at source
• You will be integral to a development team that is responsible for enhancing our AWM reporting framework, including development and testing of core internal and vendor technology systems to facilitate applicable regulatory requirements
• Work closely with respective portfolio managers/COOs, strats and finance engineering teams to implement complex calculation and reporting rules around portfolio exposures and risks metrics and assist in improving data governance infrastructure
• For new/evolving regulatory requirements, you are expected to partner directly with our legal/compliance teams to provide recommendations that will impact on our regulatory policy making and interpretations, and partner with various portfolio managers/COOs and functional data owners to implement these requirements
• You will be communicating directly with senior management across businesses and divisions to build consensus, communicate impact, escalate risks and provide thought leadership.
• You will be responsible for the oversight of various vendors and data providers related to data collection and production of filings

BASIC QUALIFICATION

• 8-10 years of relevant work experience in asset management regulatory/compliance, asset management fund controller, asset management regulatory reporting
• CA, CFA and CPA are preferred

PREFERRED QUALIFICATION

• Knowledge and experience in working with various financial products
• Good understanding of broad aspects of various functions within the asset management industry
• Good understanding/experience with technology implementation and keen interest in how technology should be utilized to create value/scale
• Awareness and interests in the changing global regulatory landscape
• Ability to work independently, but always a team player who is energetic, enthusiastic and inquisitive
• Ability to engage cross functional key stakeholders, build consensus and drive change
• Excellent written and verbal communication skills
• Strong analytical and research skills
• Strong project and time management skills
• Strong execution skills, detail oriented with a control mindset