Compliance Transaction Reporting Manager

Working as a member of the EMEA Compliance team, this role will support the Compliance Advisory Senior Managers covering the TPICAP EMEA Functions. The Compliance officer / senior manager will work closely with the operations and technology divisions to reinforce the compliance culture within TPICAP’s EMEA offices, advise and support on conduct of business and regulatory requirements, review and update policies and procedures, and provide regulatory advice and strategic compliance support. Locally the role will report to the Head of Compliance, Belfast.

Responsibilities

• Act as the senior point of contact in Belfast relating to Transaction reporting questions from relevant operations and technology teams.
• Develop, implement, and maintain compliance policies and procedures for operations and technology functions.
• Lead compliance risk assessments to identify potential areas of non-compliance and implement corrective actions.
• Provide training and support to staff on compliance-related matters.
• Prepare and submit compliance reports to senior management and regulatory authorities.
• Collaborate with other departments to ensure a cohesive approach to compliance across the organization.
• Act as an escalation point for more significant or challenging compliance questions being handled by staff in the team.
• Potential line management responsibilities for more junior Transaction Reporting Compliance Officers.
• Represent Compliance in Transaction reporting related meetings and forums.
• Advise on the interpretation of transaction reporting rules across MiFIR, EMIR, SFTR, and REMIT.
• Advise the business on key transaction reporting requirements, including the identification of reportable transactions, data collection, and submission processes.
• Stay informed about regulatory updates and changes, and communicate these to relevant stakeholders within the organization.
• Develop and deliver training programs to educate staff on transaction reporting requirements and best practices.
• Act as a point of contact for regulatory bodies and external auditors regarding transaction reporting compliance.

Experience / Competences

• Working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR.
• In-depth knowledge of transaction reporting including MIFIR RTS 22, EMIR, SFTR and REMIT.
• In-depth knowledge of MiFID onboarding processes and client classification.
• Experience in a compliance or operational risk role within Financial Services.
• Excellent communication skills, both verbal and written.
• Previous experience analysing regulations and assessing their impact on the business.
• Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
• Able to work well with diverse groups and personalities.
• Experience of Wholesale Financial Markets.
• Desired Experience of inter-dealer broking.
• Working knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
• Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.

Band and level: Manager, 7

Location: UK – 135 Bishopsgate – London