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Associate – Regulatory Operations
Delta Capita
Bengaluru, IND
Full-time
Mid-Senior
Hybrid
Discovered 1 weeks ago
Regulatory reportingCFTCEMIRMiFIR/MiFID IISFTRTrade support
Free
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Regulatory reportingCFTCEMIR
Role Overview
The Associate, Regulatory Operations provides first-line assurance over accurate and timely daily reporting for managed-services clients.
The role performs delegated operational activities while regulatory accountability remains with the client.
The position covers reporting regimes including CFTC, EMIR, MiFIR/MiFID II, SFTR, ASIC, MAS, and HKMA.
Key Skills for This Role
Regulatory reportingCFTCEMIRMiFIR/MiFID IISFTRTrade support
Full Job Posting
Role Overview
The Associate, Regulatory Operations provides first-line assurance over accurate and timely daily reporting for managed-services clients.
The role performs delegated operational activities while regulatory accountability remains with the client.
The position covers reporting regimes including CFTC, EMIR, MiFIR/MiFID II, SFTR, ASIC, MAS, and HKMA.
Daily Reporting Operations
- Monitor client trade, collateral, and valuation data against agreed arrival windows.
- Verify completeness, accuracy, timeliness, and expected-versus-actual reporting volumes.
- Flag material variances and clear routine reporting exceptions within agreed service levels.
Exception Resolution
- Investigate business-rule, pre-submission validation, and repository-rejection exceptions.
- Apply pre-agreed corrections with second-person approval and record every change.
- Escalate complex, ambiguous, or client-sensitive issues with documented investigation findings.
Reconciliations and Assurance
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