Regulatory Operations Specialist

3 tygodni temu

Warszawa, Mazovia, Polska Infotree Global Solutions Pełny etat

As a key member of our team at Infotree Global Solutions, you will play a pivotal role in ensuring regulatory compliance and operational efficiency across our business.


The ideal candidate will have a strong analytical mindset, excellent communication skills, and the ability to build effective relationships with stakeholders.


Key Responsibilities:



  • Execute non-financial regulatory reporting obligations, particularly CASS, to ensure compliance with regulatory requirements.
  • Analyze reporting exceptions and coordinate remediation and corrective actions with Operations, Remediation, and Engineering teams.
  • Manage daily Client Money and Custody shortfalls for EMEA Client Assets entities, ensuring timely resolution and minimizing financial risks.
  • Engage in CASS breach management, remediation, and reporting to the FCA, demonstrating expertise in regulatory compliance.
  • Ensure that relevant Client Assets procedures are effectively designed and operated, aligning with industry best practices.
  • Facilitate the Monthly Client Money and Asset Return (CMAR) reporting to the FCA, maintaining accurate and timely records.
  • Liaise with various CASS community teams on daily calculations and manage escalations, resolving issues efficiently.
  • Maintain up-to-date knowledge of Client Assets rules and their interpretation, staying ahead of regulatory changes.
  • Participate in the implementation of rule changes affecting Operations teams, ensuring seamless integration and minimal disruption.
  • Support projects and business initiatives impacting Client Assets obligations, driving operational efficiency and compliance.
  • Contribute to Client Asset commercial initiatives, leveraging analytical skills to inform business decisions.
  • Develop Business Intelligence skills for daily processes and long-term projects, enhancing data-driven decision-making.
  • Collaborate across multiple business lines and stakeholder groups on strategic initiatives, fostering a culture of compliance and operational excellence.

Requirements:



  • Bachelor's degree with at least 2 years of experience in financial services, with a strong understanding of regulatory requirements.
  • Strong analytical skills, with the ability to understand complex workflows and meticulous attention to detail.
  • Excellent communication skills, with the ability to clearly articulate issues and ideas and provide timely escalation.
  • Strong interpersonal skills, with the ability to build effective relationships with key stakeholders both within and outside of Operations.
  • Self-motivated, proactive team player with strong organizational skills and the ability to manage competing priorities within deadlines.
  • Flexibility and ability to work well under pressure in a team environment, with a focus on delivering high-quality results.

Preferred Qualifications:



  • Basic understanding of the financial markets regulatory landscape, with knowledge of relevant regulations and guidelines.
  • Knowledge of financial markets and associated processes, including asset servicing, equities/fixed income settlements, and OTC derivatives.
  • Familiarity with financial products, such as equities, fixed income, exchange-traded derivatives, and OTC derivatives.
  • Experience in operational functions, such as asset servicing, equities/fixed income settlements, and OTC derivatives.
  • Interest in data analysis, process automation, and BI tools, with a desire to leverage analytical skills to inform business decisions.

This opportunity offers the chance to be at the forefront of regulatory operations within a leading financial firm, where the successful candidate will play a pivotal role in ensuring compliance and enhancing operational efficiency across the business.

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