Regulatory Manager

4 days ago

Surrey, United Kingdom Dimensions Specialist Recruitment Full time

Even during these unprecedented times, my client, a global leading financial services organisation is still very much "business as usual". This position is a hybrid, where you are only required to work in the couple up to 12 days a month.

Their Brokerage Operations division is now seeking a Regulatory Manager who will have overall responsibility for Brokerage regulatory reporting. This will include the migration of the Transaction Reporting process from another team and its ongoing managementalongside other regulatory and control tasks. Operational ongoing responsibilities will include:

- Ensuring correct and timely submission of FASL transaction reporting to the FCA via UnaVista, including regular reconciliation of data on internal systems and held by the regulator
- Owning regulatory reporting issues and their resolution, including effective communication with relevant teams and stakeholders
- Actively raising awareness of Transaction Reporting across the Brokerage Hub and wider Operations department
- Identifying risks, implementing and testing controls and ensure full documentation in the RCSA
- Own the regulatory change backlog and work closely with the TR Transformation SME to ensure all changes in regulation and/or systems are correctly assessed and the outcomes align with relevant regulatory reporting requirements
- Represent Brokerage at relevant internal and external forums, including PIMFA, to discuss TR and regulatory issues and ensure Fidelity’s views are reflected in key industry reviews

With proven industry experience acquired through working for a comparable organisation, your experience should include:

- Knowledge of regulatory requirements set by regulatory bodies such as the FCA, particularly UK Transaction Reporting
- A broad knowledge of the applicable regulation (MiFID II) and current industry concerns, etc.
- Knowledge of asset classes including Equities, Fixed Income, ETFs, Investment Trusts

You will be someone who is motivated with strong focus on customer service, regulatory requirements and risk mitigation, who is able to conduct meaningful analysis on large data sets whilst being able to manage cross-functional stakeholders at varying levelsof seniority

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