Associate – Regulatory Operations

Being an Associate, Regulatory Operations at Delta Capita Report Hub means providing the first line of assurance over reporting that must be accurate and timely each business day. Regulatory accountability remains with the client; we perform delegated operational activities on their behalf.

You will execute the daily reporting cycle for managed services clients across regimes including CFTC, EMIR, MiFIR / MIFID II, SFTR, ASIC, MAS and HKMA, clearing routine exceptions independently and escalating complex ones with the groundwork done. You will build practical expertise across multiple regimes and the platform that delivers them, with a clear route into senior operational and client-facing work.

•     Daily Reporting Operations

◦       Monitor arrival of client trade, collateral and valuation data against agreed windows.

◦       Verify processing and submission against the completeness, accuracy and timeliness controls, reconcile expected against actual volumes, and flag material variances.

•     Exception Resolution

◦       Investigate and clear routine exceptions from business rules, pre-submission validation and repository rejections within agreed service levels, attributing cause where it is clear.

◦       Apply pre-agreed corrections with approval from a second team member, recording every change.

◦       Escalate complex, ambiguous or client-sensitive issues supported by documented findings of the investigation performed to date.

•     Post-Reporting Assurance (where applicable)

◦       Run the books and records reconciliations to the trade repository or ARM and the associated data quality checks, investigating breaks to the point of attribution.

◦       Support pairing and matching monitoring, and errors and omissions analysis by quantifying affected populations by asset class and the period undetected.

•     Control and Reporting

◦       Operate and evidence the daily control set, act as approver on Senior Associate changes to reported data, and support the documentation of new controls as scope expands.

◦       Prepare and verify the daily operational management information and contribute to the monthly pack.

◦       Maintain procedures and knowledge articles based on the issues you handle.

•     2 to 6 years’ experience in regulatory reporting, trade support, middle office or reconciliations at a financial institution or vendor.

•     Bachelor’s degree preferred or equivalent experience.

•     Exposure to at least one major reporting regime (CFTC, EMIR, MiFIR / MIFID II, SFTR, ASIC, MAS or HKMA), with genuine understanding of why fields are reported.

•     Working knowledge of OTC and/or exchange-traded derivatives, and exposure to reconciliation against a trade repository or ARM.

•     Accuracy under deadline pressure and the discipline to escalate an unresolved question rather than resolve it on assumption.

•     Technical aptitude and the willingness to develop an understanding of system behaviour and data flows, without requiring hands-on development experience.

•     Strong Excel and clear written English.

•     Alteryx, Power BI or Tableau.

•     Regulatory reporting certification or formal training.

EU shift: 09:00–17:00 UTC, Monday to Friday, which is 14:30–22:30 IST.

Delta Capita is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, colour, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. If you require any reasonable adjustments through your interview process, please use the designated space within the application questionnaire.

This is a permanent, full-time position located in Bangalore with hybrid working. As the selection and interview process is ongoing, please submit your application in English as soon as possible, if your profile is selected, a member of our team will contact you within 4 weeks.

Delta Capita Group (a member of the Prytek Group) is a global managed services, consulting and solutions provider with a unique combination of experience in Financial Services and technology innovation capability. Our mission is to reinvent the financial services value chain providing technology based mutualized services for financial institutions for non-differentiating services.

·        Managed Services

·        Consulting & Solutions

·        Technology

To know more about Delta Capita and our culture click here: Working at DC - Delta Capita