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FM Regulatory Operations is Global Financial Markets Operations (FMO) function responsible for delivering post-trade OTC regulatory compliance through execution and oversight of key Operational processes and controls, such as Global OTC Derivative, MIFID II, EMIR and DFA Risk Mitigation and Mandatory Clearing.
FM Regulatory Operations requires a motivated candidate to
Strong understanding of the regulatory trade and transaction reporting landscape
Familiar with key regulations covered by TR Ops e.g. Dodd Frank, EMIR, MIFID II etc.
Experience of working in Banking MO, Operations or other relevant functions
Experience in remediating transaction reporting issues, including back-reporting
Familiar with key trade flow components: how trades are booked, cleared, captured, consumed by the reporting systems, processed, submitted to the regulatory / repository)
Familiar with the following products covered by regulatory reporting obligations: rates, credit, equity, FX, ETD, securities
Product specific knowledge inside / outside of transaction reporting operations
Experience in key transaction reporting systems and how they interact with each other: e.g Trade Repositories
Exception management across an array of regulatory regimes such as but not limited to EMIR, Mifid II, CFTC, BoE etc
Ensuring all reporting issues are identified, escalated and remediated in a timely manner
Production of regular high-quality MI packs for senior management, ensuring the intended messes is being correctly delivered and understood
Regularly review controls and procedures and mitigate any gaps identified therein
Manage a wide array of stakeholders such as senior management, compliance, technology, change team
Align the key operational processes and controls adhering to SCB's Regulatory Reporting Control Standards
Manage day to day processes and controls across an array of reporting regulations such as EMIR, DF, Mifid II and reporting requirements thereof.
Ensure that the controls being implemented are effective at mitigating cause of process failure, and any gaps are well articulated through the Operational Risk Framework
Ensure the control measurements (KCI and CSTs) are appropriately defined, measured and captured within the Operational Risk Framework
Ensure that the key risk indicators (KRIs) are appropriately defined, measured and captured within the Operational Risk Framework
Capture residual compliance and operational risk issues and define the appropriate remediation activities
Provide high quality status updates to senior FM Operations management as requested and at appropriate juncture
Qualifications & Skills
Strong track record for delivering effective controls and efficient processes in a similar environment
Domain expertise across financial markets products, preferably in the context of post-trade reporting regulations such as EMIR, Mifid II, CFTC etc
Working knowledge of the front to back trade lifecycle for derivatives, including associated market infrastructure providers and capabilities
Be a self-starter and able to work both independently with limited supervision and also as part of the wider team
Strong stakeholder management ensuring high quality communication, transparency and objective prioritization
Analytical mindset, attention to detail
Proficient presentation/communication skills
Demonstrable strong teamwork with internal and external groups
Internal Number: 5646640
About Trevose Partners Limited
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