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Head of Operational Regulatory Reporting

Job description:


Edinburgh based Investment company are seeking a Head of Operational Regulatory Reporting to join their team.

The purpose of this role is to oversee the firm's daily processes and controls in respect of the company's operational regulatory reporting obligations.


As a talented and ambitious professional you will play a key role in ensuring that the firm is compliant at all times with the regulatory requirements, covering a range of regulations including: EMIR reporting, MFID II reporting and global shareholder disclosures across multiple jurisdictions.


Core responsibilities:



  • Delivery of regulatory operations tasks and reporting in line with regulatory requirements and internal standards

  • Timely and accurate trade and transaction reporting

  • Delivery of all global shareholding disclosures to investee companies within the relevant jurisdictions' time-frames

  • Coordinating and overseeing the quality and effectiveness of services provided by external parties used in the operational regulatory reporting

  • Development of appropriate reconciliations of the firm's transactions to ensure that the operational regulatory reporting information delivered is complete, accurate and within regulatory deadlines

  • Management of exceptions and/or errors arising from reporting, ensuring that these are addressed and communicated (both internal and externally) in a timely manner

  • Maintaining appropriate systems and controls for the effective operation of the operational regulatory reporting and for the integrity of the data being used and reported

  • Management of static data used in operational regulatory reporting to ensure that it is always up to date and accurate (e.g.

    new funds/clients; changes in investment personnel)

  • Provide management information and reporting as required by the business


Core Individual:



  • Detailed understanding of operational regulatory reporting, and in particular, MiFID II trade/transaction reporting, EMIR derivative reporting and Global Shareholding Disclosures

  • Highly focused on operational controls and operational efficiencies

  • Experience of data management and understanding data usage in operational regulatory reporting

  • Good knowledge of the asset management industry, particularly from an operational perspective

  • Accuracy and attention to detail

  • Strong written and verbal communication skills and ability to interact with senior personnel


Job reference:12045


To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.


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