Our client is a rapidly growing fintech platform providing advanced technology to leading wealth managers based in the West End.
They seek a Senior Transaction Reporting Officer to be responsible for managing and overseeing daily regulatory reporting activity and ensuring their client’s comply with their regulatory obligations for completeness, accuracy and timeliness of MiFID II Transaction Reporting and Post Trade Transparency Reporting.
Perform daily regulatory reporting activity for MiFID II Transaction Reporting and Post Trade Transparency Reporting Completion of day to day reporting activities.
Remediation of exceptions by investigating, correcting and resubmitting erroneous reports.
Managing and maintaining robust control environment to ensure regulatory reporting is complete, accurate and timely.
Ensuring processes and procedures are diligently followed and are adapted according to market requirements.
Stakeholder management internally and with clients.
Work with internal business teams to drive improvements, identify and remediate defects in internal system impacting reporting and assist with User Acceptance Testing for system enhancements.
Strong capability in the areas of regulatory trade reporting, specifically covering MIFID, EMIR and SFTR •
A minimum of 4 years of experience background in either Asset Management, Wealth Management or IFA undertaking trade reporting responsibilities.
Knowledge of FCA/UK regulatory framework with direct relevant experience
A team-worker who must be able to build working relationships and interact with a diverse group of internal and external contacts .
Ability to communicate with key stakeholders across the business.
Project management capabilities would be advantageous • Good derivatives knowledge is desirable.
Due to the high volume of applications, if you haven’t heard back from the Rutherford team on this role, unfortunately your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.
We are currently looking for regionally-located compliance specialists from the following areas who would be interested in working for London firms on an interim working from home basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.
We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.