Key Responsibilities: - Prepare and submit daily, weekly, and monthly transaction reports to regulatory authorities (e.g., FCA, ESMA, other NCAs).
- Monitor and investigate exceptions, discrepancies, or rejected trades using internal systems and external trade repositories.
- Collaborate with Front Office, Middle Office, Compliance, and IT teams to resolve reporting issues and ensure data integrity.
- Maintain and update procedures and documentation related to transaction reporting processes.
- Conduct periodic reconciliation of reported trades against trading systems and regulatory reports.
- Participate in regulatory audits and respond to inquiries from regulators and internal stakeholders.
- Monitor regulatory developments and assess their impact on transaction reporting obligations.
- Support the implementation of new regulatory requirements and system enhancements.
- Provide training and guidance to other team members on transaction reporting standards and processes.
- Collation of MI/data for monthly reporting internally to relevant committees
- Ability to clearly communicate and escalate issues/discrepancies to 2LOD and management as required
- Have a good and comprehensive knowledge of EMIR, ESMA and SFTR
People - Work for other members of the team to ensure all work is completed within SLA's
- Work with other operational teams to for reconciliation break clearance and control checks
Systems & Control - Adhere to the rules of the Financial Conduct Authority and the Company's core manuals inclusive but not limited to the Front Office Procedures Manual, Our Way our code of conduct, Compliance Manual, Staff Handbook, and IT Security Policy
- Adhere to the rules of the relevant exchanges upon which the department trades
- Ensure the monitoring of, and the adherence to the Company's systems and controls as they apply to their department
- Help to evolve and maintain effective systems and controls and management information are in place as appropriate for the department(s) they manage
Skills & Experience - Bachelor's degree in Finance, Economics, Business, or a related field.
- 2+ years of experience in transaction reporting, regulatory compliance, or operations within the financial services industry.
- Strong understanding of regulatory frameworks such as MiFID II, EMIR, SFTR, and related obligations.
- Experience working with reporting systems and trade repositories (e.g., UnaVista, DTCC, Regis-TR).
- Proficient in Microsoft Excel; familiarity with data analytics tools and SQL is a plus.
- High attention to detail and strong problem-solving skills.
- Ability to work under pressure and meet tight deadlines.
- Excellent communication and stakeholder management skills.
Desirable skills: - Knowledge of financial instruments, including derivatives, fixed income, and equities.
- Experience in a global financial institution or investment firm.
- Familiarity with industry utilities and platforms such as ARM/TRR, Bloomberg
For more information contact cameron.howard@trevosepartners.com
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