Senior Regulatory Reporting Analyst

THE COMPANY:

Our client is full-service investment brokerage company based in the City. With an international presence and a strong compliance culture, they are an excellent employer.

THE RESPONSIBILITIES:

• Identify the regulatory requirements, interprets these in the context of the firm’s business activities and defines the obligations that the firm must adhere to.
• Reviews regulatory announcements, identifies and defines corresponding changes to systems and processes.
• Provides day to day oversight of operational processes including exception monitoring / reconciliations.
• Assumes day to day operational responsibility for the timeliness and completeness of reporting.
• Provides 1st line investigation/resolution of routine exceptions and directs non-routine exceptions to other departments as appropriate.
• Investigates and responds to ad hoc queries and requests relating to day-to-day reporting activity and operational processes.
• Records breaches and determines appropriate action e.g. escalation and remediation.
• Investigates issues with and maintains static / reference data and undertakes periodic reconciliations.
• Notifies forthcoming new business, business change and/or new products, markets or brokers.
• Reviews and tests the impact of new business, business change and/or new products, markets or brokers.
• Defines remediation and back-reporting requirements, coordinating and verifying remediation and back-reporting activity.
• Documents applicable business scenarios within a scenario matrix, accompanied with the population of each field.
• Documents and maintains Operations policies and procedures.
• Undertakes User Acceptance Tests (UAT) to verify systems and process meet defined requirements and verifies change in Production.
• Prepares training relating to the internal operational processes within Operations.
• Manages the relationship with key vendors (such as the Trade Repository (TR) and Static Data suppliers (e.g. Euromoney).
• Maintains / chairs forum for communication across business lines for reporting arrangements (TRWG).

EXPERIENCE REQUIRED:

• Strong in-depth understanding of MiFIR and EMIR regulation.
• Good knowledge of the execution and clearing of various asset classes including Exchange Traded Derivatives, Equities, CFDs, Fixed Income and Foreign Exchange.
• Experience of the LSEG UnaVista platform or a similar ARM / Trade Repository.
• Good understanding of Microsoft Office (Excel in particular); other data analytics experience, for example Power BI, would be an desirable.
• Committed to working with accuracy and detail.
• Well-organised and able to tracking incidents, events, actions and performance metrics.
• Good communication skills, with experience of documenting procedures.
• A minimum of 3 years’ experience working in a similar role.

For further information please contact Marcus Courtney