The jobholder will work as part of the overall EMEA Compliance team to provide compliance advice to the Regulatory Operations department as a trade/transaction reporting SME, and the wider Compliance Department.

Role description:

Reporting to a senior member of GM Compliance, the position will involve:

• Provide day to day regulatory advice on trade and transaction reporting, assisting and resolving compliance and regulatory issues arising from business activities and the results of controls applied in the first line
• Attend breach meetings and assess breach severity
• Performing regular and ad-hoc monitoring and reviews

Keeping up to date with regulatory changes affecting the business.

Analyzing and impact assessing new regulations and briefing senior management accordingly.

Dealing with regulatory enquiries.

Provide management information.

Understand and keep up to date with the firm s business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance policies, procedures and standards are implemented.

Key objectives critical to success:

Strong knowledge in regulatory requirements and financial instruments with regard to a Global Markets business

Strong knowledge and understanding of MiFID Transaction Reporting, EMIR Art 9 reporting, CFTC/SEC derivatives reporting, SFTR and Central Bank reporting requirements

Ability to work well under pressure and move between tasks quickly

Ability to follow direction and manage expectations

Strong approach to problem solving

Have the drive and determination to assist with development of the Compliance function and will seek opportunities to add value