Description:
The SVP - Wealth Operations, Non-Financial Regulatory Reporting is a key leadership role accountable for the end-to-end execution, integrity, and strategic direction of the non-financial regulatory reporting function for the Americas. You will be responsible for ensuring the completeness, accuracy, and timeliness of all reporting while embedding a culture of proactive risk management and continuous improvement. This role requires a leader who can operate at both a strategic and tactical level, driving the institutionalization of reporting as a core management discipline. You will partner with senior stakeholders across Compliance, Risk, Technology, and the Business to not only meet but exceed regulatory expectations, setting a new industry benchmark for operational excellence.
Responsibilities:
Operational Execution & RTB Production
- Execute daily/weekly/monthly NFRR reporting obligations across Americas Wealth, including preparation, validation, reconciliation, control execution, and documentation.
- Ensure accuracy and completeness across key reporting domains: CAT, Rule 606/605, N‑PX, TRACE, MSRB G‑14, and other Wealth‑linked Americas reports.
- Support Wealth data inputs for global regulatory obligations (e.g., Dodd‑Frank/CFTC, Volcker, EMIR, MiFID/MiFIR, HKMA OTC reporting, SFC/HKMA surveys, MAS statistical reporting, CSSF reporting, CDDP6, UAE BRF-series, etc.).
- Follow approved procedures with precision, updating workpapers, logs, calendars, and filing evidence to audit‑ready standards.
- Perform variance checks, exception reviews, population validation, control sign‑offs, and root‑cause analysis for identified issues.
- Maintain high‑quality, regulator‑ready reporting documentation, including lineage notes, validation results, and procedural references.
Strategic Leadership & Transformation:
- Architect and deploy a best-in-class, unified regulatory reporting framework for the Americas, eradicating siloed ownership structures and creating an impermeable control environment.
- Champion the transformation of the function into "Regulatory Intelligence & Strategy," using data-driven insights to provide senior leadership with predictive analytics and decision-making intelligence.
- Drive the execution of our 2026 strategic roadmap, ensuring all objectives, including the deployment of a robust control framework and the enhancement of data integrity, are delivered on time and to the highest standard.
- Act as a primary liaison with internal and external auditors and regulators, cultivating a culture of perpetual exam readiness and representing the firm with authority and credibility.
Operational Excellence & Risk Management:
- Lead the end-to-end execution of all non-financial regulatory reporting processes, ensuring 100% compliance with regulatory requirements and internal standards.
- Engineer and deploy a comprehensive control framework, including pre- and post-submission controls, automated data validation, issue management, and sustainable risk mitigation practices.
- Systematically identify and drive opportunities for automation and process optimization, reducing reliance on manual adjustments and fortifying upstream controls.
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding its clients and assets.
Expert Advisory & Cross-Functional Partnership
- Serve as an RTB subject‑matter authority on NFRR operational requirements, providing guidance to Operations, Technology, Compliance, Legal, Product, and Data partners.
- Provide operational insight to CTB and regulatory change teams where needed (UAT, procedure alignment, control impacts), without assuming program ownership.
- Support internal/external auditor requests, preparing evidence, walkthroughs, data explanations, and control narratives.
- Respond to regulatory inquiries and ad‑hoc requests within tight SLAs, ensuring accuracy and documentation completeness.
Governance, Documentation & Procedure Stewardship
- Maintain comprehensive SOPs, control inventories, reporting playbooks, and desk‑level procedures for assigned reports.
- Ensure accurate representation of reporting flows, dependencies, control points, and data lineage within NFRR governance forums.
- Assist in RTB readiness efforts for new reporting obligations or transitions, including control testing, documentation updates, and parallel run support.
Stakeholder Collaboration & Influence:
- Build and maintain strong relationships with key senior stakeholders across the enterprise, including Risk, Compliance, Technology, and Business leadership, to ensure seamless integration and alignment.
- Chair premier governance forums to provide unified oversight of reporting performance, control efficacy, and remediation velocity.
- Communicate progress, risks, and opportunities in a concise and compelling manner to the senior executive team.
Talent Development & Leadership:
- Lead, mentor, and empower a high-performing, multi-disciplinary team of regulatory reporting professionals.
- Build an effective team through strategic hiring, coaching, and fostering a culture of collaboration, accountability, and continuous professional development.
- Champion a culture where top talent thrives, establishing the function as a net exporter of skilled leaders to other divisions within the firm.
Qualifications:
- Experience: A minimum of 15+ years of relevant experience in a large, complex, multinational financial services firm, with at least 7+ years in a senior managerial capacity leading teams.
- Domain Knowledge: Deep subject matter expertise in Operations and Non-Financial Regulatory Reporting (e.g., COB, Records Management, etc.). Proven experience with the associated control frameworks, data lineage challenges, and regulatory landscape.
- Regulatory Expertise: Strong working knowledge of key Americas NFRR regimes (e.g., SEC: N‑PX, Rule 606/605; FINRA: CAT, CAIS; MSRB G‑14; TRACE; CFTC/Dodd‑Frank) with familiarity across global regimes that intersect with Wealth (e.g., MiFID/MiFIR, EMIR, FMIA, HKMA, SFC, MAS, CSSF, UAE Central Bank).
- Transformational Leadership: Proven record of achievement in leading large-scale transformation initiatives, driving process re-engineering, and implementing automation.
- Strategic & Analytical Mindset: Exceptional ability to think strategically, connect disparate ideas, and draw logic-based conclusions from complex datasets.
- Stakeholder Influence: Masterful communication, negotiation, and interpersonal skills, with the ability to influence and build consensus among senior stakeholders in a matrixed organization.
- Executive Presence: Adept at presenting complex information clearly and concisely to C-suite executives and regulators.
- Education: Bachelor’s degree in a relevant field is required. A Master's degree (e.g., MBA, MSc) or other advanced certification (e.g., PMP, CFA) is highly preferred.
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Job Family Group:
Operations - Transaction Services
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Job Family:
Securities and Derivatives Processing
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Time Type:
Full time
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Most Relevant Skills
Please see the requirements listed above.
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Other Relevant Skills
For complementary skills, please see above and/or contact the recruiter.
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