Regulatory Reporting Executive

Main Duties and Responsibilities

The Regulatory Reporting Team are a growing team within a changing business – we aim to deliver efficient, scalable and robust solutions, ensuring the business, and our clients, fulfil their regulatory reporting obligations.

This role will offer the successful applicant the opportunity to build on their existing knowledge and skillset and own a specific regulatory reporting function – MiFIR Transaction Reporting and elements of Post Trade Transparency. It is intended the role will broaden and the successful candidate will be cross trained on the team’s wider reporting catalogue; ranging from daily EMIR and ASIC reporting to periodic UK/European and US filings such as AIFMD, ESMA securitisation, CPO-PQR and Form PF.

Primary responsibilities will include:

• Running the daily MiFIR transaction reporting processes, ensuring timely and accurate reporting to the FCA, via the ARM
• Investigate and resolve exceptions and validations that arise during the daily reporting processes
• Conduct periodic control and oversight of MiFIR post trade transparency publication
• Compiling results of periodic oversight, reconciliation and quality assurance testing; identifying areas for improvement and proposing solutions
• Cataloguing of exceptions/validations, conducting root cause analysis and providing impact assessment to facilitate remediation and corrective reporting
• Designing solutions to resolve issues at source, conduct user acceptance testing and post-release review to ensure resolution
• Liaison with Front Office, Compliance, Operations, Technology and other internal stakeholders to resolve issues identified in a systematic, scalable and robust manner

Behavioural Competecies

• Solution focussed individual with a desire to use their own initiative
• Strong analytical capability, both quantitative and qualitative.
• Excellent communication skills, intellectually curious
• Excellent organisational skills, ability to undertake a number of tasks and projects concurrently.
• Sets high standards of performance for self and strives to meet challenging objectives.  Acts with integrity and within both the spirit and the letter of the businesses principles, policies and procedures.  
• Displays a positive and energetic attitude, gets involved and proactively seeks out opportunities to advance the business.

Technical Competencies

• 2 to 3 years’ experience within a similar Regulatory Reporting role in a Financial Service firm
• Experience in MiFIR transaction reporting and/or post trade transparency; on way to becoming a subject matter expert
• Familiarity with UK and European regulations preferred
• Background in asset management operations preferred
• Good proficiency in MS Word, MS Excel and MS PowerPoint. Proficiency with VBA a bonus

Regulatory Responsibilities

• Acts with integrity, due skill, care and diligence in carrying out their role.