Regulatory Reporting Specialist

CMC Markets requires a senior level Regulatory Reporting Analyst to support the Regulatory Operations department in its oversight of non-financial regulatory reporting for MiFID, EMIR, SFTR, ASIC, MAS and Canada trade and transaction reporting, plus any shareholder disclosure requirements. The individual will be responsible for running periodic accuracy and completeness checks, producing monthly reporting management information, assisting in preparing quarterly committee meeting pack and ad-hoc testing of reporting for new business requirements.

A varied and dynamic role, requiring regular communication with the Business Operations team, the Business Intelligence Team, the Compliance Team and the Development teams. The role will require the individual to continually review manual processes associated with the Reg Ops function and look for ways to increase automation and efficiency.

Day-to-Day Duties

• Monitor daily reporting for MiFID, EMIR, SFTR, ASIC, MAS and Canada trade and transaction reporting.

• Monitor shareholder disclosure obligations for all relevant jurisdictions.

• Ensure day to day issues and incidents are escalated in a timely, efficient and effective way to ensure CMC is meeting its T+1 reporting obligations.

• Experienced in exception management, including resolving rejections across regimes and within appropriate deadlines and company tolerances.

• Perform monthly accuracy and completeness checks on CMCs trade and transaction reporting for all regimes.

• Produce monthly management information to be presented to Operations Management and Risk Committee.

• Assist in preparing quarterly Regulatory Reporting Committee meeting documentation pack.

• Perform ad-hoc testing of trade and transaction reporting for new business requirements.

• Liaise with third party trade and transaction reporting service providers where required.

• Prepare and submit monthly purchase requisitions for all active vendor services, ensuring accuracy and timely processing.

Key Individual Responsibilities:

• Assist Regulatory Reporting Manager to outline technical and business requirements relating to CMC’s regulatory reporting programme.

• Grow knowledge of CMC’s systems and data to best understand the end-to-end reporting cycle.

• Assist with regulatory reporting projects associated with CMCs business strategy and industry wide regulation changes requirements.

• Maintain personal/professional development to meet the changing demands of the role, including all relevant regulatory and legislative training.

• Take all reasonable steps to ensure appropriate confidentiality.

• Undertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role.

• When dealing with all customers, clients or colleagues ensure that we provide a clear, fair and consistent high-quality service that presents a professional and positive image of CMC Markets.

Key Skill and Experience

Essential

• 3-5 years’ experience working in the Finance industry, with prior knowledge in MiFID and EMIR trade and transaction reporting.

• Familiarity with basic financial instruments and products.

• Enthusiasm and eagerness to learn and develop knowledge in regulatory reporting environment.

• Strong skills in Excel and data wrangling.

• Comfortable handling and analysing large data sets.

• Strong communication skills, both written and spoken.

Desirable

• Prior knowledge in SFTR, ASIC, MAS & Canada trade reporting.

• Awareness of upcoming regulatory change.

• Experience in project management.

CMC Markets is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of gender, sexual orientation, marital or civil partner status, gender reassignment, race, colour, nationality, ethnic or national origin, religion or belief, disability or age.