Regulatory Compliance Analyst – Reporting & Audits

Compliance Professionals; Greater London; On-site; GBP 60,000 - 90,000; Full time

Job summary

Compliance Professionals is seeking a dedicated compliance professional to join a full-service investment brokerage. You will review regulation requests, perform EMIR/MiFIR transaction reporting tasks, and assist with KYC audits and compliance monitoring in a fast-paced environment in London.

You will work four days a week in the office, applying regulatory knowledge to stay ahead of evolving rules, and support reporting to Exchanges and regulators.

Qualifications

• Must be able to work 4 days per week in the office.
• Generalist compliance and regulatory experience (NOT KYC).
• Minimum 3 years industry products (securities, futures, options etc.).
• Understanding and previous involvement with EMIR and MiFIR Transaction Reporting.
• Microsoft Office – Intermediate.
• Knowledge and experience of UnaVista and Transaction/Regulatory reporting (desirable).

Responsibilities

• Review/audit/investigation requests from Exchanges and Regulators.
• FATCA and CRS Audit and Advisory; ad hoc tax projects.
• Research in relation to keeping up to date on financial regulatory developments.
• Monitoring and problem solving with regards to MiFIR transaction reporting.
• Monitoring and problem solving with regards to EMIR reporting.
• Maintaining accurate records and data in conjunction with regulatory reporting.
• Reporting to Exchanges and Regulatory bodies, regarding large positions reporting and client identification reporting (IDs and Forms: 40, 102, 304).
• Annual and ad hoc Information Requests from Exchanges and other bodies.
• Ad hoc KYC / compliance requests from counterparties.
• Compliance KYC Audits and other Compliance related audits.
• To conduct assigned sections of the firms Compliance Monitoring Program.
• ISDA Master Agreements, TPAs and other legal documents.
• CASS Compliance Monitoring and Advisory support.

Skills

Regulatory reporting

MiFIR experience

EMIR experience

Analytical skills

Industry knowledge

Tools

Microsoft Office

UnaVista

Job description

Compliance Professionals is seeking a dedicated compliance professional to join a full-service investment brokerage. You will review regulation requests, perform EMIR/MiFIR transaction reporting tasks, and assist with KYC audits and compliance monitoring in a fast-paced environment in London.

You will work four days a week in the office, applying regulatory knowledge to stay ahead of evolving rules, and support reporting to Exchanges and regulators.