Orla Rose Associates
Analyst
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Analyst, Reconciliations and Transaction Reporting
Location: London, UK
The Role
We are looking for an Analyst to join a growing Operations team in London, with responsibility across reconciliations, transaction reporting and operational controls.
This is a hands on role requiring strong attention to detail and an understanding of the regulatory requirements surrounding client assets and transaction reporting. You will be responsible for ensuring reconciliations are completed accurately and within required timeframes, while supporting the firm's obligations under CASS, MiFIR and RTS 22.
The successful candidate will ideally have at least 2 years' experience within reconciliations, investment operations, custody operations or transaction reporting.
Key Responsibilities
Reconciliations
- Complete and review internal, physical and external reconciliations across client custody positions.
- Ensure reconciliations are completed accurately and in accordance with CASS 6.6 requirements and agreed frequencies.
- Investigate reconciliation breaks and ensure outstanding items are appropriately documented, escalated and resolved.
- Maintain accurate supporting documentation and evidence within SharePoint.
- Complete and review daily and monthly reconciliation reports.
- Support the preparation and validation of data used for the firm's monthly CMAR regulatory return.
- Work closely with internal teams to investigate discrepancies and ensure accurate books and records.
- Maintain a strong control environment across reconciliation processes.
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Transaction Reporting
- Complete and review daily, weekly and monthly reconciliations of transaction reporting data.
- Reconcile both reportable and non reportable instruments and investigate any discrepancies.
- Perform end to end controls to ensure transactions are being reported completely and accurately.
- Support the firm's regulatory reporting obligations under RTS 22 and MiFIR Article 26.
- Identify transaction reporting exceptions and ensure these are investigated and resolved within required timeframes.
- Create, validate and upload XML transaction reporting files to the firm's Approved Reporting Mechanism (ARM).
- Maintain appropriate evidence and documentation to demonstrate completion of regulatory reporting controls.
- Escalate reporting issues and potential regulatory breaches where appropriate.
- Assist with improvements to reconciliation and transaction reporting processes and controls.
Experience Required
- Minimum of 2 years' relevant professional experience within financial services.
- Experience within reconciliations, investment operations, custody operations or transaction reporting.
- Understanding of reconciliation processes and the investigation of reconciliation breaks.
- Knowledge of CASS 6.6 would be highly advantageous.
- Exposure to MiFIR, RTS 22 or transaction reporting requirements would be advantageous.
- Experience working within a regulated financial services environment.
- Strong Excel and general systems capability.
- Previous experience working with regulatory reporting systems or an ARM would be beneficial.
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Skills and Attributes
- Excellent attention to detail and accuracy.
- Strong analytical and problem solving skills.
- Ability to investigate issues and take ownership through to resolution.
- Confident working with large volumes of operational and transactional data.
- Strong written and verbal communication skills.
- Ability to manage multiple deadlines within a controlled environment.
- Comfortable using initiative while recognising when issues need to be escalated.
- Strong organisational and documentation skills.
- Collaborative approach with the ability to work effectively across Operations, Compliance and other internal teams.
Education
- GCSE Grade C or above in English and Mathematics, or equivalent qualification.
What We Are Looking For
This opportunity would suit an Operations professional who has developed a solid foundation in reconciliations and operational controls and is looking to broaden their exposure to transaction and regulatory reporting.
Candidates coming from an investment manager, wealth manager, custodian, broker, bank or other regulated financial services business with relevant reconciliation experience would be particularly well suited.
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