Regulatory Reporting Analyst

Job Description :

As an analyst in Philippines Cash Equities Operations, you will execute error free operations and identifyand escalate any exceptions. You will comply with the firms' policiesand SOPs identify opportunities for process efficiencyandimplement in a controlled manner (highlight recurring issues/question rationale behind each process and understand cascading impacts) and exhibit effective communication with key stakeholders. You will also participate in training opportunities enhance your skill set of the various processes within the departmentand cross train colleagues on individual processes. You will have a thorough knowledge of SOPs/related check points, act as a disciplined and positive team member, operate as one team and act and think like an owner and partner.

The primary responsibility of this position is to support the day-to-day operations for settlement/transaction processing for trades received from global and domestic clients. Incumbent should possess knowledge on equities and thorough knowledge about trade life cycle. He/she should have the ability to work under pressure and meet stringent deadlines. Can effectively work in teams liaise with internal clients, client services & relationship managers.

1. Provide support to Front Office in performing order verification and reconciliation.
2. Understand deal structure from source document and ensure correct booking in back-office operating system.
3. Identifies trade discrepancies, reconcile trades, and resolve queries raised by both internal & external clients daily.
4. Prepares trade confirmations to foreign and domestic clients.
5. Ensure all client and trade details are correct and allocations are received. Manually input allocation information in back office operating systems
6. Ensure accurate confirmations are dispatched in accordance with client specific deadlines. Monitor and clear exceptions in a timely manner and identify and resolve root causes for trade edit failures.
7. Liaise with clients as required to ensure all queries are investigated and resolved efficiently and effectively.
8. Prepares and ensures timely release of various documents (i.e., Debit Authority, Remittance Instruction, invoices etc.) to Custodian Banks.
9. Daily reconciliation of statement of accounts against stock location report.
10. Prepares Check Vouchers, MC requests, Checks, Credit/Debit Memos, Journal Vouchers of trade related transactions.
11. Prepares daily reports i.e., Summary of Sales Tax collected and remitted (BIR)
12. Take lead in allocation and subscription of Trading Participant Initial Public Offering (IPO) Allocation
13. Ensure that Client Statement of Accounts are delivered on time.
14. Ensure that trade confirmation and booking related files are organized.
15. Prepare and manage other necessary reports on a weekly / monthly / quarterly / bi-annually / and on a transactional basis.
16. Ensure timely submissions of Regulatory Reports
17. Coordinate system enhancements to ensure efficient processing of cash equities trades.
18. Assist the manager in ensuring the internal controls, with which all must strictly comply.