Regulatory Reporting Analyst

2 weeks ago

London, United Kingdom Marex Full time

About Marex

Marex is a diversified global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets.

The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many major metals, energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers.

Marex was established in 2005 but through its subsidiaries can trace its roots in the commodity markets back almost 100 years. Headquartered in London with 36 offices worldwide, the Group has over 1,800 employees across Europe, Asia and America.

Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and analytics.

The Regulatory Reporting team is part of Finance, responsible for managing and preparing the submission of returns for all regulated entities in the Group. Marex operates in a number of regulated markets and capital reporting requirements exist in US, Europe and Asia. The Group's main regulator is the FCA and it is required to report at a solo and consolidated level, although other supervisors include the CFTC, DFSA, SFC, ACPR, CBI and MAS.

For more information visit www.marex.com    

Role Summary

Regulatory Reporting Analyst will work closely with Regulatory Reporting Manager and Head of Capital with regards to all regulatory capital issues and projects pertaining to the Group.

The main responsibility of the role is:

  • To assist in the preparation and reporting of all regulatory submissions across the Group.
  • To assist with internal monitoring and reporting.
  • To deliver ad hoc advice to the business and drive process improvements in the regulatory space.

Role Responsibilities

The job is extremely varied as the team supports a wide spectrum of stakeholders and cover an extensive range of products and systems. Depending on the level of experience of the individual, specific deliverables will include:

  • Daily monitoring of the capital requirements for all regulated entities in the Group.
  • Preparation of FCA returns including FSA029&30, and IFPR returns on a solo and consolidated basis.
  • Preparation of capital returns for the CFTC and other regulators in EMEA.
  • Monitoring of internal controls to ensure an adequate and robust control environment.
  • Developing process improvements to promote efficiency including pushing forward automated initiatives.
  • Providing support on ad hoc regulatory capital projects.
  • Involvement in capital impact assessments and forecasting.
  • Ensuring compliance with the company's regulatory requirements under the FCA, NFA, AMF, AFM, MAS and any other relevant regulatory requirement
  • Adhere to the operational risk framework for your role ensuring that all regulatory or company determined parameters are complied with.
  • Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
  • At all times complying with the FCA's Code of Conduct and Marex's Code of Conduct
  • To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility
  • To report any breaches of policy to Compliance and/ or your supervisor as required
  • To escalate risk events immediately
  • To provide input to risk management processes, as required.

Skills and Experience

  • Knowledge of the operations of a financial institution, either from a credit institution or investment firm background.
  • Experience in preparation of FCA returns.
  • Understanding of the reporting requirements under IFPR and COREP (preferably).
  • Understanding of latest regulatory developments and key current prudential issues facing investment firms.
  • A track record of improving processes and adding value to a firm and its stakeholders.
  • Strong analytical, organisation and documentation skills.
  • Excellent verbal and written communication skills
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Competencies

  • University degree or equivalent
  • Part Qualified or Newly Qualified Accountant (ACA/ACCA/CIMA) preferred
  • Strong Excel Skills
  • Skills in financial reporting system, ideally PeopleSoft and EssBase
  • A collaborative team player, approachable, self-efficient and influences a positive work environment
  • Demonstrates curiosity
  • Resilient in a challenging, fast-paced environment
  • Excels at building relationships, networking and influencing others
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness

Conduct Rules

You must:

  • Act with integrity
  • Act with due skill, care and diligence
  • Be open and cooperative with the FCA, the PRA and other regulators
  • Pay due regard to the interests of customers and treat them fairly
  • Observe proper standard of market conduct
  • Act to deliver good outcomes for retail customers

Marex is fully committed to the elimination of unlawful or unfair discrimination and values the differences that a diverse workforce brings to the company.

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