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Operations Regulatory Control Associate

London, United Kingdom
Posted about 1 month ago Hybrid Permanent Competitive
This is a first line of defence SME role which will primarily cover the UK FX business with inputs globally, but will also encompass aspects of IRD’s, Bonds and Repo as SVB continues to rapidly expand. The candidate will work effectively within the EMEA function to promote consistency, quality and value add to the business in everything that they do. They will also need to demonstrate a practical, common sense approach and be comfortable undertaking a full range of activities in a very fast paced environment

The successful candidate will be part of the UK Regulatory Control focusing on supporting BAU and control for Trade and Transaction reporting, EMIR, MiFID II. The role will cover the EMEA business and report to UK Transactional Banking Manager.

The candidate will need to demonstrate an understanding of Regulatory Reporting obligations – MiFID II, EMIR. Knowledge of SFTR is preferable but not essential.


Primary responsibilities

  • Daily BAU exception investigation for all trade and transaction reporting
  • Resolution and root cause analysis of any reporting failures or other issues, working with IT to remediate
  • End to end reconciliation of Transaction reporting for completeness
  • Own, create and maintain regulatory procedures 
  • Ownership of risk events and managing of Errors and Omissions process
  • Oversight of regulatory change impacting trade and transaction reporting
  • Provide SME input into relevant projects where Regulation is to be considered
  • UAT testing relating to any aspect of regulation attached to projects / workstreams
  • Maintain and create a robust controls framework for any Operations related regulatory responsibilities
  • Develop MI to report framework status to COO

Skills and Requirements

  • Good understanding of FX Derivative products
  • Be able to act as a conduit between Operations and UK compliance
  • Exceptional judgement and critical thinking skills
  • Ability to prepare and present data in a way that is understandable to all stakeholders
  • The ability to work independently and challenge effectively
  • The ability to build strong relationships and collaborate across the business
  • Strong organizational and time management skills
  • Excellent verbal, written, and interpersonal communication skills
  • Driven and willing to take on responsibility for delivering initiatives
  • Excellent knowledge of MS Office applications, including and not limited to Outlook, Excel, Word, PowerPoint
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