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My client a, leading Investment Bank, is looking to recruit a dynamic individual to join their Trade and Transaction Reporting Operations function. Based in London, you will be an integral member of the MiFID Run the Bank team supporting a combination of FCA (Transaction) and LSE/MIFID (Trade) reporting for the IB and Wealth businesses, providing oversight on day to day controls and processes. This will provide you with a breath of knowledge across regulations completed within the team.
The main function of the role is the implementation of controls and exception management, supported by clear and concise daily metrics. Identification of process improvements across the team, actively seeking and exploring areas of improvement, either via automation, time saving exercises or enhanced control monitoring processes. Each improvement requires clear demonstration of benefit to the organisation.
Trade and Transaction Reporting Operations Trade and Transaction Reporting Operations group as a whole manage the control functions and perform oversight for Regulatory Reporting submissions globally, with support in London, New York & Mumbai, with Europe covering obligations such as FCA Transaction Reporting, LSE & MIFID Trade Reporting and EMIR Derivative Reporting.
Key Accountabilities: * Monitoring and management of TTR RTB processes and controls. Exception resolution with the T+1 deadline for FCA Transaction reporting. Intra-Day exception monitoring and management for Wealth Trade reporting with T+1 reconciliation and MI. * Regulatory issues to be understood and articulated clearly to senior management and Compliance. Issues to be managed to closure - either by IT fix, enhanced control or process improvement. * Accurate completion of daily control metrics to be collated and managed, with clear understanding of spikes, issues and risks, presenting findings and responding to audience questions in a timely manner. * Root cause analysis and resolution to be driven by the candidate, supported by project plans and tracking methods. * Good understanding of the systems, processes and controls. * Process Improvement: suggest and implement ways to streamline current processes to establish enhanced controls and time savings. * Implementation of a successful control and quality assurance environment, evidenced by low volume of rejections/exceptions from the regulator.
Candidate Profile: * Clear communication of detail in a structured, methodical format. Able to understand what is being asked and provide a qualitative, full and measured response appropriate to the audience. As a regulatory function, the candidate will regularly need to engage with senior stakeholders as their main point of contact. * Well organised and structured approach to working. * Required to go beyond the standard BAU, identify and take ownership of additional value-add tasks i.e. process improvement, control tightening, automation etc, quantified by time/headcount saved, cost/loss reduction etc across all reporting disciplines. * Regulatory understanding highly desirable as well as an ability to appreciate the wider impact of issues as they arise and take appropriate action. Must be highly risk aware. * Able to forge relationships. Actively seeks to make new and useful contacts to aid getting things done and improved. Identifies issues based on insufficient learning/understanding/communication with wider teams/stakeholders etc and follows it up to resolution. * Passionate about making things better. Solid work ethic and outstanding attention to detail paramount. * Engaged and engaging, understanding business needs and behaviours, how to get the results required and appreciation of methods used when dealing with senior/business stakeholders plus how to influence them. * Adaptability and flexibility, a can-do team player, someone who instils confidence in management leaving them to a task and under minimal supervision. Ability to conduct BAU as well as project based work.