We are now looking for a Director (AVP) to join our Client Onboarding team within ISGPO. The role is required to provide cross regional supervisory oversight of the LEI Control team for the purposes of ensuring we remain compliant with regulatory requirements set forth specific to EMIR 2.0 and MIFID II, as it relates to the remediation of counterparty LEI's (Legal Entity Identifiers). The successful applicant will have the ability to navigate across the global organization, in order to track and remediate LEI led issues, ultimately interacting daily with a number of groups including Client Onboarding, Prime Brokerage, Legal Entity Group, Client Reference Data, Regulatory Trade Reporting, Legal and Compliance, Non-Market Risk, Bilateral OTC, Listed Derivative and OTC Clearing Clients Service, as well as Sales groups across Institutional and Wealth Management Business Units.
- Review and analysis of false exception reporting scenarios versus regulatory requirements. Pro-actively investigate and partner with Technology and Trade and Transaction Reporting to ensure current exception logic is remediated.
- Act as point of contact/subject matter expert of Regulatory Requirements, especially for queries of what is in/out of scope.
- Provide oversight of implementation, additional system requirements and on going monitoring and exception routing of strategic technology workflow tooling
QUALIFICATIONS
Skills Required
- Knowledge of processes associated with pre and post execution client onboarding at the Order Placer and Underlying Principal levels is important.
- Experience with managing regulatory change in relation to EMIR 2.0 and MIFID II with a primary focus on LEI's.
- Experience in other regulatory or industry led client outreach related activities is preferred.
- Technical understanding of transaction lifecycle and order routing within one or more asset classes is preferred (Rates, Credit and Equity OTC Derivatives, OTC Clearing, Listed Derivatives, FX).
- Strong excel skills also preferred and the ability to produce metrics on an ad-hoc basis.
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