Financial Regulatory Specialist

1 month ago

London, Greater London, United Kingdom Marex Spectron Full time
Job Title: Financial Regulatory Specialist

Marex Spectron is a leading global financial services platform, providing essential liquidity, market access, and infrastructure services to clients in the energy, commodities, and financial markets. Our team is responsible for daily processing of all firms' exchange and regulatory reporting functions, including MiFID TR, MIFID CPR, EMIR, DF, GCM, and LTR requirements.

Key Responsibilities:
  • Monitor and resolve daily issues associated with MiFID Transaction and Position Reporting
  • Support and maintain general static data, Exchange and Regulatory enrichment information across platforms utilized by Operations
  • Assist with system changes and upgrades in line with business, exchange, and regulatory requirements
  • Ensure written procedures are in place and up to date for daily/monthly departmental tasks
  • Efficient email management, including both personal and group mailboxes
  • Comply with the company's exchange and regulatory requirements under and not limited to [FCA, CBI, and NFA]
  • Adhere to the operational risk framework for your role, ensuring that all regulatory or company-determined parameters are complied with
  • Comply with the FCA's Code of Conduct and Marex's Code of Conduct
  • Report any breaches of policy to Compliance and/or your supervisor as required
  • Escalate risk events immediately
  • Provide input to risk management processes, as required

Requirements:

  • Excellent verbal and written communication skills
  • A collaborative team player, approachable, self-efficient, and influences a positive work environment
  • Demonstrates curiosity
  • Resilient in a challenging, fast-paced environment
  • Ability to take a high level of responsibility in a fast-paced and high-volume environment
  • Excels at building relationships, networking, and influencing others
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness
  • SME in OTC Derivatives Regulatory Reporting requirements
  • Experience of MiFIR/EMIR Regulatory Reporting requirements essential
  • Previous exposure/knowledge of SFTR and Dodd Frank
  • Ability to work effectively under pressure in a busy environment
  • Good communication skills within the team and other business areas
  • Punctual and enthusiastic
  • Flexible and accustomed to constant changing responsibilities
  • Following a strict and disciplined regime, offering assistance to all employees
  • Demonstrates enhanced understanding of Futures and Options industry in areas including; Reconciliations, Position Maintenance, Regulatory Reporting, and static data
  • Knowledge of XTP Back Office system
  • Problem-solving skills; ability to resolve issues in a timely and efficient manner
  • MS Office experience
  • Able to work on own initiative and be part of a team
  • Attention to detail
  • Ability to develop and enhance systems and processes to improve efficiency
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this

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