Regulatory Operations

Regulatory Operations is a global team that ensures that the firm is compliant with a wide range of non-financial regulatory reporting obligations. We partner with groups across the firm and industry to accurately represent firm and client order, execution and position information to regulators across a wide range of traded financial products and businesses. Our team prides itself on best-in class operational design and delivery of high quality controls to manage regulatory risk. From day one, team members play a vital role in upholding the three Operations principles of client focus, process innovation and risk management.

HOW YOU WILL FULFILL YOUR POTENTIAL?

Responsibilities include the following:

• Support the real-time and daily delivery of the firm’s transaction regulatory reports to European regulators.
• Execute key risk and control processes to ensure compliance with the firm’s transaction regulatory reporting obligations
• Consult on business and functional projects to facilitate compliant commercial activity
• Develop strong relationships with stakeholders in the Business, Engineering, Compliance and Legal to support reporting functions
• Delve into complex system infrastructure to understand impact of data flows and booking models on reporting quality
• Leverage data analytical and automation tools to detect anomalies in reporting data and improve reporting processes

Required Skills / Knowledge:

• Bachelor’s degree with 5+ years of experience in financial services
• Strong analytical skills with an ability to understand complex workflows, paired with meticulous attention to detail
• Excellent communication skills to clearly articulate issues & ideas and to provide timely escalation
• Extensive subject matter expertise in major European transaction reporting regulations e.g. MiFID II
• Good interpersonal skills to build strong relationships with key stakeholders within and outside of Operations