Regulatory Analyst - APAC Shift
Core
Analyzes and checks disclosure of interest (DOI) data, prepares DOI filings for regulatory bodies, and manages customer accounts and security/pricing data within multiple systems.
Role type
mid-level IC regulatory analyst (disclosure & reference data)
Builds
regulatory disclosure filings and accurate reference data sets
Domain
financial services / regulatory compliance
Required skills
data analysis, regulatory filing preparation, stakeholder reporting, project management, risk assessment, MS Office (Excel, Word, PowerPoint), data quality monitoring
Preferred skills
DOI operational or advisory experience, securities trading knowledge, compliance regulations knowledge
Technologies
MS Office, multiple internal data systems
Responsibilities
Perform disclosure obligations including Substantial Shareholdings and Takeover disclosures; Prepare and submit accurate DOI filings to regulatory bodies; Ensure daily DOI jurisdictional position reports are delivered before SLA deadlines; Maintain and improve procedures for shareholder disclosures; Oversee creation and maintenance of customer accounts, security, and pricing data; Identify opportunities for data quality and client service improvements; Act as backup for manager; Provide direction and guidance to team members; Manage and deliver project initiatives; Supervise junior staff; Assess risk and ensure compliance with laws and regulations.
Seniority
Mid-level, hands-on IC with team guidance responsibilities