Regulatory Reporting Associate (Buy Side/ Hybrid) in Slough

HYBRID ROLE 3 days in the office

ROLE DIMENSIONS

The role sits in the Investment Control team within the Portfolio Services (“PS”) group (covering London and US EST) and reports into the Regulatory Reporting Specialist. The Investment Control team is a global team with three people sitting in the London office.The Portfolio Services group includes Investment Operations, Fund Services, Business Management, Fund Administration and Performance & Portfolio Analytics.

KEY RESPONSIBILITIES:

Managing the UK transaction reporting process, identifying and resolving exceptions in a timely manner including a monthly reconciliation with the FCA MDP data.

Managing EMIR reporting and ensuring compliance with the EMIR refit rules – performing oversight on the reports submitted by the counterparty.

Monitor and submit all major shareholder disclosures, Takeover Panel disclosures and issuer requests for the firm to ensure controls are robust and filings are made within the deadlines.

Schedule, prepare and submit reports and filings to global regulatory authorities in a timely and accurate manner including SEC schedule 13 reports and FCA AIFMD Annex IV.

Prepare and maintain regulatory reporting procedures (including process flows, controls, and checklists) and schedules, documenting all key interpretations and assumptions.

Assist with team coverage for investment guideline breach monitoring via Bloomberg AIM for pre- and post-trade violations – working with the portfolio managers and 2nd line Compliance to resolve breaches in a timely manner.

Maintaining internal and external watchlists in Bloomberg and the internal data warehouse, ensuring the lists are updated in a timely manner and the process is robust.

Assist the team with rule extraction and interpretation of investment restrictions for new fund onboardings or fund changes (equity and fixed income). This includes the coding and testing of the restrictions built into Bloomberg AIM.

SKILLS, KNOWLEDGE, EXPERIENCE

Essential:

• 2–3 years’ experience in a regulatory reporting team with experience of MiFID transaction reporting, EMIR, and major shareholder disclosures

• Excellent knowledge of European and UK asset management regulations with ability to interpret financial legislation reporting obligations

• Strong asset management experience with exposure to equity, fixed income, and derivatives with working knowledge of fund and trade life cycle

• Professional, “can do” attitude, willing to learn new processes within the Investment Control remit

• Proven ability to organise and prioritise multiple tasks to successfully meet deadlines and quickly understand new business areas

• Ability to take full ownership of work

• Meticulous attention to detail

• Works collaboratively with the team and wider global colleagues and shares knowledge

• Intermediate/advanced Excel proficiency

• Dynamic and solution-focused and is innovative when it comes to improving processes

Desirable:

• Working knowledge of pre- and post-trade breach monitoring

• Investment guideline coding in an OMS

• Experience with Bloomberg AIM