Transaction Reporting Compliance

Compliance Officer (Director level)

Overview: My client is currently seeking a seasoned professional to join their team as a Compliance Advisory Officer. This critical role involves advising businesses on compliance with laws, rules, and regulations, with a specific focus on pre and post-trade transaction reporting. The successful candidate will play a key part in investigating potential or actual breaches of relevant financial laws, rules, and regulations, particularly in the realm of Treasury Securities and Services, Benchmarks Regulation, MiFID best execution reporting requirements, and various investment products.

Responsibilities:

1. Compliance Advisory:
   • Provide expert guidance to business units on adhering to laws, rules, and regulations related to transaction reporting, with a specific emphasis on Treasury Securities and Services, Benchmarks Regulation, MiFID best execution reporting, and investment products.
   • knowledge of  transaction reporting including EMIR and MiFIR obligations across all asset classes (in conjunction with OAD, F&C, RMD and STPD-Legal and any other relevant stakeholders).
   • Conduct pre-trade compliance reviews and advise on the impact of upcoming regulatory changes.
   • Compliance Subject Matter Expertise for Foreign Exchange, Money Market, Derivatives and Deposits
2. Investigation and Reporting:
   • Investigate potential or actual breaches of relevant financial laws, rules, and regulations related to transaction reporting.
   • Collaborate with internal stakeholders to assess the root cause of compliance issues and develop effective remediation plans.
3. Knowledge Management:
   • Maintain and update extensive knowledge of regulatory requirements, particularly in Treasury Securities and Services, Benchmarks Regulation, MiFID best execution reporting, and investment products.
   • Stay abreast of industry trends and changes in financial services and markets to ensure proactive compliance measures.

Skills and Qualifications:

1. Extensive Knowledge:
   • In-depth understanding of Treasury Securities and Services, Benchmarks Regulation, MiFID best execution reporting requirements, and various investment products.
2. Analytical and Technical Skills:
   • Strong analytical, numeracy, and technological skills to effectively navigate complex regulatory landscapes and implement compliant processes.
3. Communication and Influencing:
   • Well-developed influencing and communication skills, including the ability to draft comprehensive and clear documents for internal and external stakeholders.
4. Project Management:
   • Ability to manage multiple issues, reviews, and projects concurrently while maintaining a high level of accuracy and attention to detail.
5. Adaptability and Pressure Management:
   • Ability to work under pressure and adapt to changes in regulatory requirements, ensuring continuous compliance.
6. Self-Motivation and Risk Awareness:
   • Self-motivated with a proactive approach to identifying and mitigating compliance risks.

Please contact me for a full job description and salary information NE@barclaysimpson.com