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Regulatory Reporting Associate, Circa £50,000 – £65,000

A leading independent Asset Manager is looking to bolster their Operations Regulatory Reporting team in London.
The role will be primarily responsible for reviewing and carrying out the daily and periodic transaction reporting, trade reporting and substantial shareholding disclosures reporting activities on behalf of the Firm’s entities and clients, in line with regulations.

Roles & Responsibilities

Key tasks are the delivery of a variety of regulatory report types. In addition, there will be a range of follow-up data-driven activities, general ‘housekeeping’, and the preparation of management information. Responsibilities include:

  • Accurate and timely reporting and reconciliations for all transactional activities in line with MiFIR and EMIR regulatory guidelines on a day to day basis.

  • Disclosure of position reporting completion to jurisdictional regulatory specification, and in line with agreed policies and procedures.

  • Undertake essential replay/back reporting activity.

  • Exception management, validation, accuracy and timeliness of report filings and submissions.

  • Troubleshooting/investigation into the cause of issues and errors, as well as the communication of findings and rectification.

  • Work with internal stakeholders and external vendors to resolve queries and to fill data gaps.

  • Work with the wider Operations Department, in-house stakeholders and external partners to identify all reportable transactions and in scope accounts in order to ensure that obligations are correctly interpreted and met.

  • Provide support to the Regulatory Reporting Manager for specific projects as and when these arise (this will include changes to regulations, new product launches, new instrument approvals, replacement systems and in-house infrastructure changes, as well as process improvements and the review of historic reporting activities and set-up).

Experience & Qualifications

  • Likely to have a minimum of two years’ experience working in a medium-high volume Regulatory Reporting Team, with a particular focus on MiFID and EMIR trade and transaction reporting.

  • A solid understanding of the UK and European Regulatory Reporting landscape, with good knowledge of the EMIR (and both European and UK EMIR Refit) and MiFID trade and transaction reporting rules, and their application.

  • Substantial Shareholding Disclosure experience would be an advantage.

  • Able to work alone on small projects or collaboratively as part of a Working group.

  • Able to take ownership for specific tasks on a day-to-day basis with minimal guidance.

  • Experience in the compilation and maintenance of procedural documentation, record keeping and audit trails.

  • Vigilant approach to monitoring in relation to update triggers.

  • Strong spreadsheet and numeracy skills.

  • A good communicator who is comfortable playing an active role during in-person meetings, managing upstream expectations, and escalations.

  • Comfortable with Bloomberg, UnaVista, Tradecho and Excel-based tools.

To hear more about this exciting opportunity, please contact Peter Llewelyn on 020 7847 8873 or email your CV to

Please note: that due to the high volume of applicants responding to our adverts we are regrettably not able to feed back on all applications; only successful candidates will be contacted.

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