Compliance Manager (Regulatory Reporting)

Compliance Manager (Regulatory Reporting)

Join to apply for the Compliance Manager (Regulatory Reporting) role at Maven Securities.

Role Overview

We are seeking a highly skilled Compliance Manager (Regulatory Reporting) to join our London office. Reporting to the Head of European Compliance, you will play a senior leadership role in delivering accurate, timely, and compliant regulatory reporting across regimes such as MiFID II / MiFIR, EMIR, CAT, short/long transparency, and related rules for UK and EU investment firms. You will drive reporting process integrity, controls, reconciliation, and exception handling, and will work closely with technology teams to support automation of reporting and MI production. You will act as a key subject matter expert, with the flexibility for the scope of the role to evolve as regulations and business needs change.

Key Responsibilities

• MiFID II / MiFIR Transaction Reporting: Oversee and ensure high‑quality MiFID II / MiFIR transaction reporting for all in‑scope UK and EU investment firms, ensuring data integrity, managing reconciliations, remediation, and error resolution.
• EMIR Reporting: Lead all aspects of trade and position reporting as required by EMIR and UK EMIR, including prompt reconciliations, exception handling, and ensuring reporting compliance via trade repositories.
• Prudential Reporting: Manage regulatory capital, liquidity, and other prudential returns for UK and EU investment firms under the IFPR, IFR/IFD, and similar regimes, ensuring timely and accurate submission of periodic returns and supporting documentation.
• CAT Reporting (US): Ensure accurate reporting under the Consolidated Audit Trail (CAT) regime, including specialist data requirements, reconciliation, exception management, and cross‑firm collaboration for US trading activity as applicable.
• Short/Long Reporting and Transparency (SSR): Fulfil obligations for short and long position reporting and notification under the EU Short Selling Regulation and relevant FCA rules, including position flagging, monitoring of thresholds, and preparation of disclosures.
• Governance of Reporting Attributes: Take ownership for ensuring the completeness, accuracy, and regulatory compliance of transaction and order‑level attributes required for reporting (such as algo flags, Tag 50s, and other industry‑standard identifiers). Establish and maintain effective governance and validation processes, perform regular reviews and audits, and work with internal and external stakeholders to resolve data quality or reporting issues.
• Reporting Controls, Reconciliation, and Review: Own end‑to‑end reconciliation and exception management for all core transaction and position reporting. Routinely perform data integrity reviews and support internal or external audit activity for ongoing compliance.
• Automation, Technology Liaison & MI Production: Collaborate effectively with technology teams to identify requirements and support the delivery of automated solutions for regulatory reporting and reconciliation. Drive the production of high‑quality management information (MI) for senior management, compliance, and regulatory needs.
• Broader Reporting Scope & Change: Support, as required, reporting under additional regimes such as commodity position limits, Dodd‑Frank, SEC 13F/13H, etc., participate in regulatory change projects, and keep abreast of and prepare for evolving regulatory requirements and new reporting obligations.
• Stakeholder Engagement: Act as SME for key reporting regimes; provide advice and training across the business; support senior leadership, audit, and regulatory inquiries as required.

Skills and Experience

Essential

• At least 5+ years’ regulatory reporting experience for investment firms or asset managers, with detailed expertise in at least one area such as MiFID II / MiFIR, EMIR, CAT or short/long transparency.
• Strong working knowledge of multiple regulatory regimes listed above, and proven ability to develop expertise in new reporting regimes as they arise.
• Advanced experience in the governance, review, and validation of regulatory transaction and order attributes (e.g., algo flags, Tag 50s, other identifiers).
• Advanced knowledge of transaction and trade reporting operations, exception management, reconciliations, and troubleshooting.
• Experience with reporting reconciliation, periodic/ad‑hoc review, and audit support.
• Ability to produce high‑quality management information (MI) for compliance, management, and regulatory purposes.
• Advanced Excel / data analysis skills and use of data to support both reporting and MI.
• Technical / programming skills (Python / SQL) for data analysis (not for reporting automation).
• Strong track record of collaborating with technology teams to deliver and support automated reporting and MI solutions.
• Excellent attention to detail, critical thinking, and communication skills—comfortable with technical, management, and regulatory stakeholders.

Desirable / Nice‑to‑Have

• Experience with additional regimes/standards (e.g., Dodd‑Frank, SEC 13F/13H, commodity position limits).
• Experience with prudential reporting standards (e.g., COREP/FINREP), and with regulatory reporting vendors/platforms such as UnaVista, DTCC, MarketAxess.
• Experience supporting regulatory change / business transformation projects.

What We Offer

• A great environment whereby technology is key to our success.
• The upside of a start‑up without the associated risks.
• Friendly, informal and highly rewarding culture.
• A fast‑growing global firm with plenty of opportunities where you will have a significant impact.

Seniority Level

Mid‑Senior level

Employment Type

Full‑time

Job Function

Finance and Sales

Referrals increase your chances of interviewing at Maven Securities by 2x.