Role Description
Regulatory reporting manager is a key role within the Regulatory Operations team and will provide:
Oversight for Regulatory Reporting, ensuring timeliness, accuracy and completeness requirements of specific regulations are met
Trade Surveillance operational oversight and alert management in line with Market Abuse requirements for FNZ Brokerage & Custody function
Communication of reporting metrics to senior management, internal stakeholders and clients
Periodic data quality review to ensure accurate and complete reports are being sent to the regulators
Documentation and implementation of Regulatory Reporting procedures and workflows according to client requirements
Team Responsibilities
The Regulatory Operations team is responsible for providing reporting services to FNZ Brokerage & Custody business line and its clients.
The team oversees the submission of regulatory reports and trade surveillance data from upstream client order management and trading systems. The data is validated, enriched and submitted to a third party technical router who submits to the regulatory end point for each reporting regime.
Regulatory reporting submission are monitored for timeliness, accuracy and completeness. Order and trade data is monitored for Market Abuse.
Specific Role Responsibilities
• Oversight of daily monitoring of transaction reporting across all regulations supported including the following jurisdictions: EMIR, MiFIR, ASIC and MAS
• Oversight of daily monitoring of orders and trades for Market Abuse
• Reconciliation of trade data from primary source systems against regulatory submission reports extracted from the regulatory end point
• Responsible for communicating reporting metrics to legal and compliance and escalating reporting breaches and failures.
• Point of contact and vendor liaison for the implementation of Regulatory Reporting services provided by vendor to FNZ.
• Management of the issue remediation process including day to day issue correction and back reporting. Managing resolution of issues upstream providing requirements to make changes to source systems where necessary.
• Horizon scanning and impact analysis of upcoming regulatory changes eg. Regulatory rewrites, MIFIR updates.
• Creating daily procedural steps and outcomes for reporting scenarios
• Attend working groups and conferences on behalf of the firm and disseminate knowledge
Experience required
5 years + Industry experience in Financial Markets essential
Required Knowledge & Skills
Experience
A proven track record of managing Regulatory Reporting projects
Hands-on experience of EMIR, MIFIR, ASIC and MAS
Able to work independently and with initiative
Strong written and verbal communication skills in English and a desire to work as part of a global team.
Excellent organisational, administration and time management skills.
Opportunities
Right from day one, you will work alongside exceptional, multicultural teams - experts in their respective fields - who will inspire and challenge you to make your greatest impact.
Be part of a highly successful, rapidly growing, global business that is leading the delivery of financial services via cloud computing and partners with some of the world’s largest companies;
Working in a flexible and agile way that meets the needs of the business and personal circumstances;
Remuneration, significant financial rewards and career advancement is based on individual contribution and business impact rather than tenure or seniority;
We provide global career opportunities for our best employees at any of our offices in the UK, EU, US, Canada, South Africa and APAC.
Commitment to Equal Opportunities
At FNZ, we recognise that diversity, equity and inclusion are important factors contributing to our success. We embrace the unique perspective and capabilities of our current and future employees, which will help us continue to drive innovation and achieve our business goals. Recruitment decisions at FNZ are made in a non-discriminatory manner without regard to gender, ethnicity/race, faith, age, nationality, gender identity, sexual orientation, marital status, socio-economic background, disability or military veteran status where all applicants and employees are valued and respected.
In addition, we want to ensure accessibility needs are well supported, if you require specific support please advise us.
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About FNZ
FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back.
We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution.
We partner with over 650 financial institutions and 12,000 wealth managers, with US$1.5 trillion in assets under administration (AUA).
Together with our customers, we help over 20 million people from all wealth segments to invest in their future.