Department Overview

S&PGlobalsNetwork and Regulatory Solutions brings together solutions that help customers comply with regulatory requirements while reducing the risk cost and complexity of running their businesses. We are comprised of corporate actions and regulatory compliance.

The Regulatory Compliance team offers a suite of products that provide solutions for our clients with tax validation document exchange and managed service to meet their regulatory obligations. Our risk and regulatory compliance management solutions create a single source of truth with information about customers and vendors that is accurate and up to date. We provide extensive risk and compliance management coverage allowing firms to reduce costs reuse information and streamline processes with improved technology.

Counterparty Manager is an online platform for the sharing of KYC AML and counterparty documentation between buy-side and sell-side firms. MCPM is a growing product where there has been a rapid expansion in the number of clients supported and the number of documents sourced and supported including ISDA and FATCA products.

Position Summary

The role of Sr Clients operations Specialist is to manage the counterparty manager operations inflow and outflow of BAU tasks and projects independently and with the help team. Candidate must be a qualified specialist for placement in investment banking servicing backend-client operations client services and project management teams. The role requires an in-depth understanding of capital markets different financial instruments and governing regulations. Candidates with experience in client onboarding platform backend services entity management loan client operations client outreach space customer service and good knowledge of financial products are preferred.

Successful candidates will be responsible for:

• TeamManagement& Development Managing and coaching teams as People Manager Career Coach or Team Manager; providing training mentorship and fostering continuous learning.

• Innovation & Technology Enablement Acting as an innovation driver by leveraging AI and advanced tools such as Power BI Excel VBA PostgreSQL JIRA and other digital solutions to enhance efficiency and decision-making.

• Client Onboarding & Profile Management Leading onboarding for brokers custodians corporates fund administrators and service providers; maintaining accurate client profiles and validating key documents.

• Data Management & Quality Control Overseeing bulk data management conducting quality checks and ensuring accurate client and regulatory data representation.

• Process Oversight & Queue Management Managing workflows monitoring queues and ensuring timely case resolution to meet service standards.

• Analysis & Troubleshooting Performing client overlap analysis identifying root causes of issues and driving effective resolutions.

• Continuous Improvement & Collaboration Understanding new system functionalities updating standard operating procedures sharing knowledge and collaborating with stakeholders to ensure compliance and alignment with organizational goals.

Key Responsibilities:

• Core Services Expertise:

Develop in-depth knowledge of core services such as client onboarding regulatory representations validated tax services and loan market support. Utilize this knowledge to excel in client operations activities including accounts and access management and support for global investment banks or asset managers in their onboarding regulatory and compliance needs.

• PeopleManagement:

Oversee and manage global back-office teams on a day-to-day basis to ensure smooth operations and service delivery while fostering team development and performance.

Foster team development and performance by:

• Conducting regular 1:1 performance review to provide feedback and support individual growth.

• Engaging in career pathing discussions to align team members aspirations with organizational goals.

• Sharing 1:1 meeting minutes to ensure clarity and accountability.

• Conducting close check-in connects on Workday to track progress and address any concerns.

• Promoting a collaborative work environment that encourages open communication and teamwork.

• Identifying training and development opportunities to enhance team skills and capabilities.

• Customer Service Excellence:Ensure customers receive first-class service consistent with S&Ps expectations. Identify and resolve client issues follow up based on SLAs conduct client demos train clients on the platform and manage additional inquiries as required.

• Project Management:Manage multiple concurrent projects and drive them to completion with minimal guidance ensuring timely delivery of milestones and objectives.

• Subject Matter Expertise: Serve as a subject matter expert (SME) by assisting peers and leadership in implementing quality control reviews of operational activities. Collaborate with business partners to validate the integrity of data and documents maintained for all Regulatory and Compliance platforms.

• Stakeholder Collaboration:Work closely with key stakeholders to understand business requirements for projects developing effective relationships during project implementation to ensure seamless delivery of business-as-usual operations.

• Technical Representation:Represent the client operations team in engagements with TechOps product and development support groups for platform bugs support tasks new releases or updates on functionality.

• Innovation and Process Improvement:Test existing and new functionalities and internal processes to identify time-saving ideas. Create Business Requirement Documents (BRD) for presentations to leadership driving innovation within backend platform services.

• SLA Management and Training:Manage SLAs on daily operations and projects. Maintain all team trackers (assistance handover leave tracker project etc.) and take joint responsibility for the complete training of new joiners providing regular updates and feedback.