Principal Financial Group

Responsibilities

Possess strong technical knowledge on Transaction reporting regulatory environment, familiar with EMIR & MIFID, able to articulate & decide the submission criteria for Trade repository with co-ordination with Legal & Compliance

• Provide support for submissions and other documents by performing necessary tasks including validations, exceptions clearings, substantiation where trades are not reported to regulatory authorities
• Responsible for ensuring reconciliations are performed for delegated model and exceptions from submission activities are escalated on time to the Oversight group for remediation & resolution
• Preparation of published output in electronic formats ensuring documentation in adherence with regulatory guidelines and internal processes within established timelines
• Maintain static data of both Internal and external clients, brokers in DTCC, prior experience in setting up LEI’s in DTCC through Managed Services
• Perform quality reviews to ensure accuracy, presentation of metrics to Sr. Management
• Responsible for managing project workflow throughout the submission process, including prioritizing project objectives, and overseeing progress of projects with other team members, ensuring timeframes and deadlines are met and identifying and relaying issues and resource needs when required
• Engage & proactively take part in project delivery for building product to cater to regulatory adherence, understands what fields are reportable per regulatory guidelines, own and be accountable in testing the connectivity between Internal applications/ workflows to Trade repositories.
• Provide leadership and direction over an investment operations team within PGI. Delegate assignments, providing clear expectations and measurable objectives. Seek additional resources to complete tasks when needed. Remove barriers to move forward to get efforts back on track

Qualifications

Bachelor's degree, or equivalent, in accounting, finance, economics or business required, with minimum 10 -12 years' work experience in Investment, Asset Management, Mutual fund operations or related field, of which minimum 5 years should be in core Regulatory operations function

• Strong technical knowledge & understanding of applicable regulations and guidelines for EMIR and MIFID is a must
• Must be detailed oriented and possess effective delegation, presentation skills, relationship building, readily adaptable to changes, decision-making skills, work productively & consistently under VUCA environment, innovative thinking, ready for challenges, open to feedback, irrespective of levels etc.
• Strong analytical, problem solving, interpersonal and communication skills