Disclosure of Interest is a central compliance function responsible for monitoring and disclosing the firm’s interests in relevant securities to issuers, regulators and/or exchanges across jurisdictions. The team aggregates global positions across lines of business to support shareholder disclosure obligations and transparency requirements. You will work with large trade and position datasets to prepare regulatory filings, reconciliations, and responses to inquiries. This role supports investment and trading activity operating within defined internal thresholds and applicable laws and regulations.
Job summary:
As a Disclosure of Interest Analyst within a central compliance function, you will support regulatory mandates that require monitoring and disclosing the firm’s interests in relevant securities to issuers, regulators and/or exchanges across jurisdictions. You will help aggregate global security positions and monitor threshold reporting to support compliance with internal thresholds and external requirements. You will perform analysis of shareholder disclosure obligations, foreign ownership limits, and transparency disclosures, and prepare regulatory filings and supporting reconciliations where applicable. You will use rule-based data collation and analytics to support timely reporting and responses to inquiries. You will also support implementation of new or revised processes, systems, products, and regulatory requirements.
Job responsibilities:
- Analyze shareholder disclosure obligations, monitor holdings across industry and foreign ownership limits, support short sale reporting, support beneficial ownership transparency disclosures, and provide trade approvals and advice to the business
- Perform impact analysis on the firm’s shareholdings before finalizing and submitting regulatory reports
- Work with large data sets of trade and position information
- Prepare and submit regulatory filings, including transaction and position reconciliations when applicable
- Conduct rule-based data collation and analytics to support timely responses to inquiries
- Review, implement, and update control procedures for new products and regulations
- Assist with implementing new or revised processes and systems
Required qualifications, capabilities, and skills:
- Qualified graduate with minimum of 5 years of relevant experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in regulatory reporting
- Strong equity and equity-related products knowledge, including understanding of trade booking and flows and structured products
- Strong analytical, workflow, and data interpretation skills
- Strong relationship building skills to influence and negotiate desired outcomes, with excellent interpersonal skills to work effectively with colleagues and senior management, and strong verbal and written communication
- Ability to deep-dive and investigate issues through to successful resolution, with self-reliance and willingness to own problems and creatively find solutions
- Experience with build-out and execution of a new team or procedures, including ability to identify risks and issues and successfully navigate through to completion
Preferred qualifications, capabilities, and skills:
- Experience in corporate actions, equities settlements, trade reconciliation, regulatory reporting, and monitoring