SVP - Wealth Operations, Non-Financial Regulatory Reporting

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Job Overview

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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