Assistant Vice President – Regulatory Operations

Being a n Assistant Vice President, Regulatory Operations at Delta Capita Report Hub means owning the reporting day for the clients who depend on you. When reporting fails, you establish the cause, decide the course of action, and set it out for the client with evidence. Regulatory accountability remains with the client throughout; we perform delegated operational activities on their behalf, and understanding that distinction is central to the role.

The Impact You Will Have in This Role

You will run the daily reporting cycle for managed services clients across regimes including CFTC, EMIR, MiFIR / MIFID II, SFTR, ASIC, MAS and HKMA, covering receipt of client data through to trade repository acknowledgement and on through the post-reporting assurance controls. The service is expanding, so you will design and embed controls that are not yet in place as well as operate those that are. Hours are aligned to European reporting deadlines, working alongside colleagues in the UK and EU.

Your Primary Responsibilities

• Daily Reporting Operations
• Own the end-to-end cycle for assigned clients across trade, collateral and valuation messages, assuring completeness, accuracy and timeliness against regulatory deadlines.
• Monitor rejections at each level of validation and reconcile records at each stage to identify where they leave the reporting population; an exception is not closed until the acknowledgement confirms it.
• Root Cause and Attribution
• Establish and evidence the root cause of every exception, attributing it to client data quality or to platform transformation and logic, and escalate the same day where the cause genuinely cannot be established.
• Remediate within pre-agreed parameters, refer the underlying issue to the client for correction at source, and pursue permanent resolution in preference to recurring workaround.
• Post-Reporting Assurance (where applicable)
• Operate the completeness, accuracy and timeliness reconciliations between client books and records and the trade repository or ARM, and triage breaks through to resubmission.
• Operate pairing and matching monitoring, determining whether the fault lies with our processing or the client’s counterparty and liaising with that counterparty to agree the position.
• Analyse exceptions against materiality thresholds, quantifying affected populations by asset class and the period undetected, and prepare breach and errors and omissions documentation for client approval; the notification to the regulator is made by the client.
• Own back reporting where a historical population is identified: scope, test, submit and reconcile the outcome.
• Control Design and Governance
• Design, document and implement controls where none currently exist, including materiality thresholds by jurisdiction and controls over collateral, valuations, early terminations and eligibility.
• Establish quality assurance and data quality testing over transformation and derived fields, retaining evidence sufficient for audit, client assurance and regulatory requests.
• Act as approver on changes to reported data, submit your own for approval in turn, and escalate on the defined triggers.
• Issue management information across the daily, monthly and quarterly cadence, including the monthly delegated reporting counterparty report, and contribute to client governance forums and risk and control self-assessment.
• Regulatory Change
• Escalate questions of regulatory interpretation for determination, holding affected reports until guidance is received, and document the outcome as precedent.
• Support client onboarding, regime go-lives and changes to reporting scope, and coach junior colleagues.