Job Description

This position will be part of a team responsible for all regulatory reporting for a dealer broker based in London – UK, European and US.

Primary areas of responsibility

• Assist with daily, monthly & quarterly regulatory reporting required by UK financial regulators. These tasks primarily focus on supervisory reporting. Part of the team responsible for preparation of COREP and liquidity reporting (FSA047 and FSA048).
• Assist with tasks within daily, monthly and quarterly regulatory reporting required by US regulators.
• Ensure all FCA and US regulatory reporting remains compliant with the relevant requirements and guidelines.
• Provide expertise interpreting regulations and reporting guidance applicable to a Dealer-Broker, and challenging existing practice.
• Assist in the review processes, including deep-dive reviews for the above Regulatory Reporting deliverables to identify and implement improvements to the control environment.
• Assist in the review processes for the above Regulatory Reporting deliverables to identify and implement improvements to systems capabilities.
• Re-engineer legacy manual processes and document new processes to be compliant with corporate end user computer tools (EUCT) standards.
• Standardise documentation for the local regulatory reporting and manage the periodic updates and reviews of those documents.
• Support the planning, testing and implementation of projects and initiatives, which affect the Regulatory Reporting and wider Finance team.
• Assess and recommend approaches for issues.
• Provide leave of absence cover for the production of other deliverables within the department as appropriate in order to satisfy internal control framework requirements.

Required Knowledge, Skills, and Abilities

Qualified accountant. Experience of a UK Dealer Broker is highly preferable. Experience compiling FCA and European regulatory returns, particularly COREP and liquidity returns. Excellent Excel skills and comfortable manipulating large quantities of data. Self-motivated with the ability to work independently within a team structure. Strong academic background and degree educated. Honesty and integrity in all aspects of their work. Strong communicator. Intuitive; fast leaner with good problem solving skills. Good time management and organisational skills.