Compliance Advisory - Transaction Reporting

Compliance Advisory – Transaction Reporting

This range is provided by FincSelect. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Location: London, 3 days per week. 2 from home.

We’re working with a global banking group who are hiring in their Compliance Advisory team. This role is a key SME position providing advice, challenge, and oversight to the business on trade and transaction reporting, client assets, and positions reporting across multiple global regulatory regimes.

You’ll work at the centre of regulatory change and partner closely with Markets, Operations, and Private side, helping ensure the firm remains compliant while enabling business growth.

The role:

• Act as an SME for global trade and transaction reporting obligations, including:
• UK/EU EMIR, UK/EU MiFIR/MiFID, UK/EU SFTR, CFTC (Part 43 & 45), SEC reporting, CSA trade reporting, HKMA reporting, MAS reporting
• Provide technical regulatory advice and expertise to the CASS (Client Assets) team, including safeguarding requirements and relevant MiFID rules.
• Support the firm’s equity aggregation arrangements to ensure compliance with global laws on Substantial Shareholder Disclosures and Short Selling Disclosures.

Your experience:

• Strong experience in transaction reporting (either UK/EU or US).
• Demonstrable experience with equity positions reporting and disclosures (e.g., Transparency Directive, SSR, SEC 13f‑1/13f‑2).
• Demonstrable expertise in UK CASS rules and relevant MiFID safeguarding client assets requirements (desirable).

Seniority level

Mid‑Senior level

Employment type

Full‑time

Job function

Finance

Industries: Banking

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