Job Title: Assistant Vice President – Regulatory Transaction Reporting & Data Services
Department: Asset Management – Investment Operations / Reporting
About Business line/Function: Asset Management Reporting and Data Services are responsible for the end-to-end integrity of the data lifecycle. This includes transforming validated investment, accounting, pricing, and reference data into accurate, timely, and compliant reports for clients, regulators, and internal stakeholders. The function ensures that regulatory transaction reporting (EMIR, SFTR, MiFID II, ASIC) is executed with precision while maintaining the robust data foundations required for institutional-grade reporting.
Position Purpose: The Assistant Vice President (AVP) serves as a strategic leader and dual-function controller within the Regulatory Transaction Reporting (RTR) and Data Services ecosystem. The role is responsible for the governance, oversight, and continuous improvement of both the regulatory reporting framework and the underlying data management architecture.
The AVP is accountable for ensuring the "Golden Source" of data is maintained, managing the full data lineage from ingestion to regulatory submission, and driving the strategic roadmap for data quality and reporting automation.
Responsibilities
Direct Responsibilities
- Strategic Oversight: Lead the end-to-end delivery strategy for regulatory transaction reporting and the data services lifecycle, ensuring all global SLAs and multi-jurisdictional requirements are met.
- Data Governance & Integrity: Act as the primary authority for data quality; establish and enforce standards for data accuracy, completeness, timeliness, and consistency across all reporting streams.
- Regulatory Control Authority: Direct the oversight of both direct production (SFTR, MiFID II) and outsourced/delegated reporting (EMIR, ASIC), ensuring rigorous control over 3rd party Service Providers and Clearing Brokers.
- Critical Escalation & Incident Management: Serve as the senior point of contact for resolving complex regulatory discrepancies, systemic data breaks, and high-priority reporting failures.
- Quality Assurance Framework: Define and implement enhanced control standards for transaction pairing, matching, UTI management, and master data reconciliation.
Contributing Responsibilities
- Leadership & Talent Development: Provide strategic direction to Production Analysts and Data Processors; drive a culture of technical excellence, data literacy, and continuous professional development.
- Transformation & Data Engineering Oversight: Lead large-scale automation and digitalization projects; oversee the implementation of automated data validation rules and streamlined data ingestion workflows.
- Data Lineage & Traceability: Partner with IT and Data Engineering to ensure full end-to-end data lineage, enabling seamless audit trails from regulatory submission back to the original source system.
- Cross-Functional Partnership: Partner with senior leaders in Performance, Accounting, and Product teams to optimize upstream data flows and resolve systemic "root cause" issues.
- Audit & Regulatory Liaison: Lead the response to internal/external audits and regulatory inquiries, ensuring all data controls, governance documentation, and oversight evidence are robust.
- Change Management: Drive the implementation of new regulatory requirements (e.g., EMIR Refit) and system enhancements across the global reporting and data landscape.
Technical & Behavioral Competencies
Technical Competencies
- Advanced Regulatory Reporting Mastery: Deep expertise in the mechanics of EMIR, SFTR, MiFID II, and ASIC, including submission lifecycles and exception handling.
- Data Management & Governance Expertise: Advanced understanding of Master Data Management (MDM), data sourcing, enrichment, and the management of investment data domains (Holdings, Pricing, Reference Data, Corporate Actions).
- Data Quality & Analytics: Ability to design data quality dashboards and use statistical methods to monitor data health and identify emerging trends/risks.
- Systems & Data Architecture: High-level understanding of the end-to-end data pipeline, including the connectivity between source systems, data warehouses, and regulatory interfaces (ARMs/APAs/TRs).
- Risk & Control Design: Advanced ability to design and implement complex control frameworks to mitigate operational, regulatory, and reputational risks.
Behavioral Competencies
- Strategic Leadership: Ability to lead diverse teams through complex regulatory shifts and inspire a culture of data-driven accountability.
- Influencing & Stakeholder Management: Proven ability to influence senior stakeholders and effectively challenge 3rd party service providers and brokers.
- Decisiveness under Pressure: Ability to make high-stakes, time-sensitive decisions regarding regulatory deadlines and data integrity.
- Problem-Solving & Innovation: A proactive approach to identifying systemic gaps in data/reporting logic and implementing long-term technological solutions.
- High Accountability: Absolute ownership of the function’s regulatory standing, data accuracy, and global delivery quality.
Specific Qualifications:
- Education: Post Graduate degree in Finance, Economics, or a related quantitative discipline (MBA/CFA preferred).
- Experience: Extensive experience (5+ years) in Regulatory Transaction Reporting or Financial Data Management within an Asset Management or Sell-side environment.
- Data Mastery: Proven track record in managing complex data flows, performing high-level reconciliations, and validating data lineage and traceability.
- Leadership Track Record: Experience in managing operational teams and overseeing outsourced service providers/vendors.
- Regulatory Knowledge: Expert-level understanding of the evolving global regulatory landscape (EMIR, SFTR, MiFID II, ASIC).
- Process Excellence: Demonstrated experience in leading process improvement, automation, or digital transformation initiatives.
Skills Referential
Technical Skills:
- Advanced Regulatory Frameworks (EMIR, SFTR, MiFID II, ASIC).
- Data Governance, Data Lineage, and Master Data Management (MDM) principles.
- Strategic Risk Management & Control Design.
- Expert proficiency in Data Analysis tools (Advanced Excel, SQL/Python knowledge preferred) and Reporting Platforms (e.g., Aladdin, DTCC, Tri-Optima).
Behavioral Skills:
- Strategic Thinking & Vision.
- Executive Communication (Reporting KPIs and trends to senior management).
- Change Leadership & Transformation.
- Advanced Conflict Resolution & Negotiation.
- Risk-based Decision Making.
Education Level: Post Graduate degree in Finance
Location: Chennai
