Mifid Transaction Reporting Analyst

Taylor James Resourcing; City Of London; On-site; GBP 70,000 - 75,000; Full time

Job summary

A financial services recruitment agency based in London seeks a skilled professional for a Transaction/Trade Reporting role. The candidate will manage compliance, ensure accurate trade submissions, and liaise with broking desks. Ideal candidates will have experience in relevant regulations such as MiFID and EMIR. Competitive salary up to £75,000 per annum.

Qualifications

• Experience of Transaction/Trade Reporting is required.
• Experience of Take Over and Mergers Reporting preferred.
• Strong knowledge of MIFID, EMIR, AIFMD regulations preferred.

Responsibilities

• Liaise with broking desks on IT, Compliance, Client Onboarding.
• Supervise error handling process and complaints escalation.
• Ensure accurate and timely trade submissions to Exchanges.
• Coordinate back-office team training and compliance monitoring.
• Implement policies for financial promotions review.

Skills

Transaction/Trade Reporting

Take Over and Mergers Reporting

MiFID Transaction Reporting

Shareholder Reporting

Issuer Holding Requests

Short Selling Reporting

MIFID regulations

EMIR regulations

AIFMD regulations

Transparency Directive

Job description

Overview

Quick Registration First Name * Last Name * e-mail * Phone * Sector Location

Client Onboarding KYC Associate. 5 days in office, Senior HR Manager with Financial Services experience. HR Business Partner. to £65,000. This well established. Our client is looking for a Talent Development Specialist. We are looking for a Deputy Group Company Secretary. Date: 18 Aug 2023

Sector: FINANCIAL MARKETS
Type: Permanent
Location: London
Salary: £70000 - 75000 per annum
Email: [e-mail]
Ref: 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.

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 – ensure trades are reported accurately and on time and escalate to exchanges and CPFL Compliance team promptly.
• 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 requirements 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.

Qualifications

• Experience of Transaction/Trade Reporting is required.
• Experience of at least some of the following areas is preferred: 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.