Regulatory Reporting Manager - Wealth Management

Job Details


South-West London

Job Description

Regulatory Reporting Manager – Wealth Management

Salary: Up to £80,000. Plus bonus and benefits


Objective of Role

The Regulatory Reporting team is responsible for ensuring the completeness, accuracy, and timely submission of regulatory reports to the appropriate competent authority. This role is heavily aligned to MiFID II and EMIR but will also have exposure to AIFMD in the future.

Key Responsibilities

  • Accountable for managing the Reg Reporting team on a daily basis, overseeing, and monitoring correct reporting for multiple asset classes and multiple regulatory reporting requirements.
  • Full ownership of all BAU functions within the Regulatory Reporting department, ensuring accurate, diligent and correct delivery of all tasks and functions.
  • Guidance, support and oversight of regulatory reporting analysts – delegation of daily tasks, workloads and issues for resolution where required. Acting as primary point of escalation and liaising with director as required.
  • Continual training and professional improvement of regulatory reporting analysts within BAU functions to ensure business continuity and meeting of regulatory requirements.
  • Team representative on new product and new markets working groups.
  • MiFID II Trade Reporting – monitoring, reconciliation completeness and accuracy checking.
  • MiFID II Transactions Reporting – production, completeness and accuracy checking, submission and reconciliation of data.
  • EMIR Reporting – monitoring and reconciliation of trade, valuation and collateral reporting for derivatives.
  • AIFMD Reporting – responsibility for the quarterly reporting requirement of AIFs.
  • Creation of management information reports.
  • Maintain and sign off team procedures for all areas of Regulatory Reporting.
  • Daily sign off of all team tasks to affirm completeness.
  • Completion of team one-to-ones, and Personal Development Reviews.
  • Conducting team meetings in order to disseminate internal and external information and to ensure that the team work as a collegiate unit.
  • Any other tasks that may be reasonably requested.

Qualifications and Experience

  • Minimum 2 years of business experience in a regulatory reporting role.
  • Previous supervisory or managerial experience.
  • Technical expert of EMIR.
  • Technical expert of MIFID Trade reporting.
  • Technical expert of MIFID Transaction reporting.
  • Strong understanding of Equity, Fixed Income, FX, Funds and OTC products (Swaps, Swaptions, Options, CDS).
  • IOC completed or looking to complete within 18 months of being in the role.

Skills and Capabilities

  • Strong interpersonal skills.
  • Proactive self-starting individual who is flexibility and ability to learn quickly.
  • Strong analytical skills are essential with meticulous attention to detail.
  • Desire to suggest and implement process changes within a controlled manner.


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