Regime Manager MIFID (Reg Ops) Regime Manager MIFID (Reg Ops) …

Trevose Partners Limited
in London, United Kingdom
Permanent, Full time
Last application, 17 Sep 21
Trevose Partners Limited
in London, United Kingdom
Permanent, Full time
Last application, 17 Sep 21
My client is hiring in their regulatory reporting space.
  • The role will be responsible for all aspects of MIFID reporting including ARM, APA, RTS23, Commodities Position reporting and Compressions. The role will monitor and support the global Regulatory Operations teams. This person will work in close partnership with Compliance and Technology to manage BAU streams focussing on Completeness, Accuracy, Timeliness and Data Quality.
  • Responsibilities will also include identifying areas where change is required, writing requirements and collaborate with functions and technology to deliver the front-to-back changes required.
  • Monitor and enhance controls ensuring issues are escalated correctly to ensure prompt remediation and appropriate notification internally and externally
  • Manage internal communications to different stakeholder groups to ensure they are kept up to date with relevant developments and project milestones
  • Work with the Product Owner to ensure proactive communication on status and issues throughout the MIFID regime
  • Awareness and understanding of the wider business, economic and market environment in which the Group operates.
  • Ensure that Regulatory Operations’ process and controls are well defined, documented and operating effectively through oversight of offshore teams, with appropriate business continuation planning, ‘load balance’ coverage and a focus on cost optimization in terms of wider team structure.
  • Rationalize regulatory changes impacting processes and controls and follow through with oversight to post-implementation.
  • Responsibilities relating to the direction, planning, structure, frameworks (e.g. processes and policies) and oversight. For example, Responsible for assessing the effectiveness of the Group’s arrangements to deliver effective governance, oversight and controls in the business and, if necessary, oversee changes in these areas; Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role.
Regulatory & Business Conduct
  • Display exemplary conduct and live by the Group’s Values and Code of Conduct.
  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
  • Achieve the outcomes set out in the Bank’s Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.  
  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
The Ideal Candidate
  • Analytical mindset, strong focus and attention to detail.
  • Strong prioritization and organization skills.    
  • Technical skills crucial to analyse data, including proficiency in Microsoft Excel.    
  • Highly personable with excellent communication skills, ability to influence key stakeholders.  A demonstrated team player attitude.
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