Date: 18 Aug 2023Sector: FINANCIAL MARKETSType: PermanentLocation: LondonSalary: 70000 - 75000 per annumEmail: duncan@taylorjamesresourcing.comRef: db3485 We are looking for a candidate with experience of Transaction/Trade Reporting. You must have experience of at least some of the following to be considered for this role Take Over and Mergers Reporting MiFID Transaction Reporting Shareholder Reporting Issuer Holding Requests Short Selling Reporting Strong knowledge of one or more of the following regulations: MIFID, EMIR, AIFMD, Transparency Directive. -Implementation of transaction reporting in the London officeoversee back-office controls and related oversight processes (and enhance wherever possible) to ensure compliance with regulatory requirements and with firm Policy and Standards (e.g., legal entity authorisation, usage and trading oversight controls).What you’ll be doing• Liaise with the broking desks on IT, Compliance, Client Onboarding and Client matters.• Understand the broker commission and draft a broker’s commission manual.• Ensure the necessary back-office cover is in place across all jurisdictions.• Implement end of day zero commission, reduced commission and error trade reporting/reconciliation.• Supervise error handling process and the complaints escalation process.• Oversee deal ticket submission process and trade submission to the Exchanges – in particular, ensure trades are reported accurately and on time and ensure escalation to exchanges and CPFL Compliance team in prompt time.• Coordinate back-office team training and ensure exchange rules and back-office policies are up to date and fit for purpose.• Maintain Exchange Membership and update user registration and de-registration.• Maintain products on the system and update any new products.• Submit any document requirement during the year including ICE Annual Questionnaire.• Ensure compliance with the post Brexit Oslo structure and liaise with compliance team to monitor communications between Futures and Securities to ensure abidance with EU/UK Law.• Prepare desk reports for the Desk Head meetings and ensure Desk Head Sign-off.• Implement a policy for ensuring that the daily report for financial promotions is reviewed and signed by appropriate personnel before issuance.• Update financial promotions policy in line with Compliance directions.• Liaise with Credit Control to address any issues which block payment and flag clients who are overdue.
Regulatory Reporting Analyst (Permanent) in London employer: Taylor James Resourcing
As a leading player in the fintech sector, we pride ourselves on fostering a dynamic and inclusive work culture that encourages innovation and collaboration. Our employees benefit from comprehensive professional development opportunities, competitive remuneration, and a commitment to work-life balance, all while being part of a forward-thinking team dedicated to revolutionising payment solutions across our extensive retail network.
