Financial Services jobs in United States

Location: Belfast/ India
Contract: Permanent, Full Time
Hours: 40 Hours per week
Reporting to: Team Lead – Regulatory Reporting

It is our ambition to substantially grow our business internationally over the coming years. The Investment Compliance & Risk Team Lead will play a key role in embedding business controls and act as a driving force in our continued development. We are actively recruiting ambitious, sociable, intelligent individuals with initiative, a strong work ethic, excellent communication skills and analytical skills.

Funds-Axis is a young, fast-growing Regulatory Technology (RegTech) business. We combine deep regulatory knowledge and best of breed technology to deliver excellent customer service to our clients and partners. Our clients are leading global asset managers, administrators, and depositary banks to whom we provide investment compliance and regulatory reporting services. This market is growing strongly, reflecting increasing regulatory demands and the need for technology solutions. Funds-Axis also provides high-quality, low-cost information products to the asset management sector, including Global Exchanges and Global Disclosure.

We are currently seeking a talented individual with 5 years of experience in regulatory reporting division. The day-to-day responsibilities of Shareholder Disclosures SME will include:

• Responsible for performing global shareholder disclosure obligations, including Major Shareholdings, Short position reporting, Takeover disclosures, and Issuer/Private disclosures.
• Responsible for preparing accurate and error-free disclosure forms and daily dashboard, which will submit to our clients on a regular basis.
• Show regulatory expertise by continuously tracking regulatory changes, publishing updates internally and externally, and preparing training materials and client presentations.
• Responsible for tracking and updating Issuer reporting thresholds, Global Takeover table, and global regulatory changes in respective systems.
• Responsible for validating that all BAUs are performed as per procedures and continuously checking the QC.

• The ideal candidate should have a master’s degree and at least 5 years of experience in the financial service industry, with 2 to 3 years in global shareholding disclosure rules, takeover, sensitive industries, FDI, and FPI regulations.
• Preferred experience with global major shareholding disclosures, including SEC Section 13 reporting (13G, 13D, 13F), ESMA TDAD, and APPAC regulations for shareholding disclosures particularly in Australia & Hong Kong.

In return for your commitment, we offer a strong remuneration package and significant opportunities to grow and develop as our business expands, including:

• 33 days’ vacation leave per annum (prorated if starting during the leave year). This includes all bank holidays/statutory days.
• 5.5% employer contribution pension (for UK location)
• Remote working facility
• Healthcare & life assurance (for UK location)
• Comprehensive group medical cover (for India location)
• Progressive maternity and paternity pay
• Work with a great team
• Travel opportunities
• Work with leading international finance companies
• First-class training package
• Excellent career progression opportunities

If you feel you have the necessary skills and experience to be successful in this role, click on “APPLY” today, forwarding an up-to-date copy of your CV for consideration in the first instance.