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MSRB & TRACE - Regulatory Operations Reporting
Market Leading International Investment Bnak
Rapidly Expanding, Business Facing, Regulatory Operations Reporting Team
About Our Client
Market Leading International Investment Bank
- Produce and/or validate for accuracy TRACE and MSRB reporting
- Investigate, resolve exceptions & track metrics related to TRACE and MSRB
- Coordinate the remediation of reporting anomalies (raise JIRAs, document requirements, validate testing, and approve changes).
- Identify process improvement opportunities
- Document requirements for automated and/or improved infrastructure solutions
- Manage regulatory change initiatives across the trade lifecycle
- Producing accurate, succinct and tailored presentations for a range of stakeholders highlighting material external developments and anticipated internal impact.
- Develop global partnerships across Technology, Operations, and other functions in order to help implement initiatives
- Proactively assist the business, operations, compliance, and technology in understanding the impact of business and regulatory change initiatives on regulatory reporting
- Review and analyze new business, rule changes or system changes that impact reporting processes and perform testing.
- Document business requirements outlining required changes to reporting processes as a result of new business activity, new or amended regulations, system changes, etc.
- Perform random sampling of regulatory reporting processes to ensure accuracy and completeness\
- Develop and implement controls to ensure the timeliness, accuracy and completeness of reporting, and resolve any exceptions identified
- Support and respond to regulatory inquiries and exams
- Maintain a strong focus on streamlining processes by identifying and implementing automation opportunities
- Document policies and procedures as required
The Successful Applicant
- Bachelors Degree or Equivalent Required
- Experience in finance services and/or regulatory reporting
- Experience with some of the following is strongly preferred: Fixed Income Products, Bloomberg Terminal and TOMS, Broadridge Systems (Impact/ICI), Settlement process, and FICC
- Strong proficiency in MS Word, Excel, PowerPoint and Outlook.
- Ability to identify process improvement opportunities
- Understanding of financial products (Equities, Listed Derivatives, Fixed Income, and/or OTC Derivatives) preferred
- Experience monitoring TRACE/MSRB and/or Trading/Sales support preferred
What's on Offer
Comprehensive Compensaiton Package
- Competitive Base Salary
- Discretionary Annual Bonus
- Comprehensive Benefits Package