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Regulatory Reporting Senior Associate
3 months ago
ROLE PURPOSE
The Regulatory Reporting Senior Associate is responsible for mandatory regulatory reporting on behalf of the Impax Group, in its various regulated jurisdictions. The role will establish a robust oversight and control environment to satisfy regulatory reporting expectations. Finally, the role will be responsible for assessing the impact of relevant regulatory changes and revising operational processes accordingly.
KEY RESPONSIBILITIES- Manage and oversee European transaction reporting ARM for the firm, identifying and resolving exceptions in a timely manner. Ensure reconciliation with the FCA MDP portal is in line with regulatory obligations and industry standards;
- Schedule, prepare and submit reports and filings to global regulatory authorities in a timely and accurate manner including SEC schedule 13 reports and FCA AIFMD Annex IV;
- Monitor and submit all major shareholder disclosures, Takeover Panel disclosures and issuer requests for the firm ensuring controls are robust and filings are made within the deadlines;
- Manage and oversee Trade Reporting for the firm;
- Oversee production of MiFID II Costs and Charges disclosures;
- Prepare and maintain regulatory reporting procedures (including process flows, controls, and checklists) and schedules, documenting all key interpretations and assumptions;
- Work with the business to identify and support regulatory reporting change initiatives;
- Consistently seek to enhance controls and streamline efficiencies for the function including review of possible vendors and outsourcing and regular review of target operating model;
- Provide assistance, when required, in examinations by regulators, auditors and/or consultants;
- Ensure that the integrity of the data disclosed to regulators remains at the highest standard, by ensuring that adequate controls are in place;
- Develop and ensure the adequacy and delivery of internal management information which includes KPI’s and KRIs to relevant stakeholders.
Essential:
- 5+ years’ experience in MiFID II regulatory reporting requirements including transaction reporting, trade reporting and major shareholder disclosures;
- Excellent knowledge of European and UK asset management regulations with ability to interpret financial legislation reporting obligations;
- AIFMD regulatory knowledge including AIFMD reporting;
- Strong asset management experience with exposure to equity, fixed income and derivatives with working knowledge of fund and trade life cycle;
- Proven ability to organize and prioritize multiple tasks to successfully meet deadlines and quickly understand new business areas and regulatory matters;
- Ability to take full ownership of work;
- Professional, “can do” attitude able to adapt to business needs at short notice;
- Meticulous attention to detail;
- Works collaboratively with the team and wider global colleagues and shares knowledge;
- Intermediate/advanced excel proficiency;
- Dynamic and solution focused and is innovative when it comes to improving processes.
Desirable:
- EMIR reporting;
- SEC regulatory knowledge including regulatory filings such as Form PF, Forms 13F, G & H;
- Experience with Bloomberg AIM.
