Researcher at Compliance Professionals/Saxton Leigh.
Helping you find your next role in Risk, Compliance, Legal, Operations, and Accounting.
Responsibilities:
Transaction Reporting & Regulatory Compliance:
* Ensure full compliance with FCA MiFID II transaction reporting rules, including:
* MiFID II RTS 22 – Transaction Reporting.
* Conduct data validation and reconciliations to prevent errors, omissions, or duplications.
* Investigate and resolve transaction reporting issues, including rejected reports and FCA feedback.
* Ensure reporting policies remain aligned with evolving FCA regulations.
* Implement data governance controls, reconciliations, and assurance measures.
* Conduct regular data integrity checks against FCA reports and internal systems.
* Identify and mitigate reporting risks, escalating significant issues to Compliance and Senior Management.
Stakeholder Collaboration & Process Improvement:
* Work closely with Compliance, Front Office, IT, and Operations to support transaction reporting accuracy.
* Assist in enhancing automation, improving data accuracy, and maintaining reporting system integrity.
Regulatory Change & Reporting Enhancement:
* Stay updated with FCA and ESMA regulatory developments affecting transaction reporting.
* Assist in regulatory change projects to ensure continued compliance with evolving FCA rules.
* Conduct impact assessments on regulatory changes and implement necessary updates.
Experience:
* Expertise in FCA MiFID II transaction reporting, including RTS 22 and FCA SUP 17.
* Hands-on experience with Approved Reporting Mechanisms for transaction reporting.
* Experience in data analysis, reconciliations, and exception management.
* Strong understanding of the finance industry, especially investment management.
Seniority level: Associate
Employment type: Other
Job function: Finance
Industries: Investment Management
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