Compliance Advisory SME

Our client is a UK subsidiary of a global financial house working in multiple markets and asset classes.

The role sits in the Compliance Advisory Team.

The Compliance Advisory team is responsible for providing guidance on regulatory matters relating to relevant business activities undertaken by the firm and to advise on the treatment and interpretation of both UK and international compliance rules and regulations. Compliance Advisory assists Department Heads with the development of desk policies and procedures to comply with regulatory requirements and to ensure implementation of regulatory developments. Compliance Advisory is also responsible for liaising with regulatory authorities.

Responsibilities

Main Purpose of this role:

Act as the SME providing the necessary advice, challenge and oversight to the various projects and the Business on equity positions reporting, short selling reporting, US/CAN trade reporting,

Support remediation projects on equity positions reporting, US/CAN regulatory reporting, etc.

Support Advisory Team in US Swap Dealer Regulatory tasks as directed.

Key responsibilities:

Support the day to day management of equity positions reporting and short selling reporting under the relevant EU/UK/US regulations, e.g. Transparency Directive, SSR, 13f-1 reporting and 13f-2 reporting, etc.

Support remediation projects on equity positions reporting, US/CAN trade reporting, etc.

Interact with, and be one of the primary contacts with the business on BAU matters relating to Markets, Operations and Private Side business matters

Support the Head of Operations Compliance Advisory in regulatory reporting required by CSA, CFTC, SEC, etc.

Support Head of Advisory EMEA with Ad Hoc tasks such as US Swap Dealer policies/procedures drafting.

Skills

Must have

MUST HAVE:

At least 5 years in Compliance Advisory or related Operational experience within the banking or financial services industry

Strong subject matter expertise in Equity Positions Reporting, Short Selling Reporting, US/CAN regulatory reporting (Compliance Knowledge will be essential but Operational experience will be key)

Detailed regulatory knowledge relating to Transparency Directive, SSR, CFTC/SEC reporting rules

Solid and demonstratable experiences with an equivalent organization

Extensive experience managing large projects with tight deadlines

Extensive experience managing relationships with senior stakeholders

Personal Requirements:

Excellent communication skills

Results driven, with a strong sense of accountability

A proactive, motivated approach

The ability to operate with urgency and prioritise work accordingly

Strong decision making skills, the ability to demonstrate sound judgement

Excellent interpersonal skills

The ability to manage large workloads and tight deadlines

A confident approach, with the ability to provide clear direction to your team

Excellent managerial/leadership experience

A calm approach, with the ability to perform well in a pressurised environment

Nice to have

Good understanding of the following operational areas: regulatory reporting, derivatives trade support, money market processing, bonds, collateral management, confirmations, credit control, fixed income trade support, loan participation, loan agency and settlements

Other

Languages

English: C2 Proficient

Seniority

Senior