Senior Officer, Regulatory & Compliance

Role: Senior Officer Regulatory & Compliance

Office: GCD

Department: Regulatory Reporting

Reports to: Manager Regulatory Reporting

Overview

• The Senior Officer is responsible for reviewing and delivering regulatory reporting outputs for more complex clients and scenarios while also acting as a day-to-day point of support for Analysts and a client-facing contact for reporting.
• The role is focused on quality review timely delivery stakeholder communication and technical guidance while escalating broader methodological framework or operational design matters to the Regulatory Reporting Specialist and Manager where appropriate.
• The Senior Analyst will support a consistent client experience by participating in client interactions responding to queries and coordinating effectively with onshore stakeholders and wider support teams.

Responsibilities

• Take responsibility for reviewing and delivering regulatory reporting outputs for clients ensuring quality accuracy and timeliness across assigned deliverables.
• Support Analysts within the team by offering day-to-day guidance on technical matters priorities and quality expectations.
• Act as a client-facing contact for reporting service matters and delivery updates.
• Investigate delivery issues exceptions and data challenges supporting timely resolution and escalating more complex matters appropriately.
• Maintain complete and accurate workpapers evidence and documentation to support audit readiness and control standards.
• Contribute to process enhancements procedure updates and continuous improvement activity across the team.

Tasks (what does the role do on a day-to-day basis)

• Review and complete regulatory reporting deliverables for allocated clients including more complex or higher-risk deliverables.
• Perform detailed analytical review of data outputs and reconciliations challenging anomalies where appropriate.
• Act as a point of contact for client queries requests and reporting-related discussions.
• Participate in client calls onboarding discussions and service review conversations as required.
• Coordinate with onshore colleagues internal teams and third parties to obtain required information and resolve issues.
• Monitor delivery against reporting calendars and intervene as necessary to support timely completion.
• Escalate material risks issues or delays appropriately and support remediation activity.
• Provide coaching technical guidance and support to Analysts within the team.
• Review workpapers documentation and supporting evidence to ensure audit readiness and consistency.
• Support management information quality review outputs trend analysis and reporting metrics.
• Contribute to procedure updates process improvement activity and workflow enhancements.
• Assist with training of new joiners and ongoing development of team capability.
• Undertake additional responsibilities or project work in line with business needs.

Key Skills

• Strong knowledge of regulatory reporting processes and control requirements.
• Strong review capability with the ability to identify issues challenge outputs and apply sound judgement.
• Confident communicator with the ability to interact effectively with clients and senior stakeholders.
• Strong organisational and prioritisation skills with the ability to manage multiple deadlines and competing demands.
• Ability to support guide and develop junior colleagues.
• Strong problem-solving and root cause analysis capability.
• Client relationship management skills with the ability to respond to queries clearly and professionally.
• Good working knowledge of Microsoft Excel and other Microsoft Office applications.
• Continuous improvement mindset and ability to identify opportunities to enhance efficiency control and service quality.

Qualifications :

Experience

Essential:

• Relevant experience in regulatory reporting fund services depositary compliance operations or a similar financial services environment.
• Experience reviewing more complex deliverables and working within a controlled deadline-driven environment.
• Experience engaging with internal stakeholders and managing reporting-related issues to resolution.

Desirable:

• Direct experience of AIFMD Annex IV reporting or equivalent regulatory reporting frameworks.
• Previous experience in a senior analyst reviewer or similar capacity.
• Previous experience in a client-facing or stakeholder-facing role.
• Experience working within a Global Center of Delivery / offshore operating model.
• Degree in accounting finance business or another relevant discipline.

Key behaviours we expect to see

In addition to demonstrating our Group Values the role holder will be expected to demonstrate strong collaboration accountability sound decision making stakeholder management a drive for results continuous improvement and a commitment to quality and control.

Additional Information :

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders including our employees clients and local communities while also reducing our impact on our natural environment.  

There is always more we can and should do to improve whether in relation to our people our clients our planet or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. Were committed to fostering an inclusive equitable and diverse culture for our people led by our Diversity Equity and Inclusion steering committee. 

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees careers while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6500 employees - from 94 nationalities across 24 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced. 

Were committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients sustainability and success lead to our sustainability and success. Were emotionally invested in our clients right from the beginning.

Remote Work :

No

Employment Type :

Full-time