Schroders
Transaction Reporting Manager
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Role Purpose
To ensure the accurate, complete, and timely submission of regulatory transaction reports in accordance with applicable regulations, including MiFIR, EMIR, and SFTR, whilst maintaining robust controls, reconciliations, governance, and regulatory oversight. The role is responsible for the day-to-day operation of transaction reporting processes, investigation of exceptions, and supporting regulatory change initiatives to ensure ongoing compliance.
Key Responsibilities
Regulatory Reporting Operations
- Execute and oversee daily transaction reporting activities for MiFIR, EMIR, and SFTR within regulatory deadlines.
- Monitor daily report submissions and validate successful transmission and acceptance by Approved Reporting Mechanisms (ARMs), Trade Repositories, and other regulatory reporting platforms.
- Ensure all reportable transactions are accurately identified and submitted in accordance with regulatory requirements.
- Investigate and resolve reporting exceptions, rejects, and validation failures on a timely basis.
- Maintain evidence of report submissions, exception resolution, and control execution.
Controls & Reconciliations
- Perform and document daily, weekly, and monthly reconciliations to validate the completeness and accuracy of regulatory reporting populations.
- Reconcile internal trading records against submitted regulatory reports and regulator acknowledgements.
- Monitor MiFIR transaction reporting reconciliations, including three-way reconciliations where required.
- Perform EMIR and SFTR pairing and matching oversight, investigating exceptions, and coordinating resolution with counterparties.
- Identify control weaknesses, gaps, and reporting risks and implement remediation actions.
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Data Quality & Exception Management
- Conduct root cause analysis of reporting failures and recurring data quality issues.
- Work with Front Office, Operations, Technology, Compliance, and external vendors to resolve reporting defects.
- Analyse transaction lifecycle events to ensure correct regulatory treatment.
- Maintain issue logs and track remediation actions through to completion.
- Escalate material reporting errors and breaches in accordance with governance procedures.
Regulatory Compliance & Governance
- Ensure compliance with FCA, ESMA, and other applicable regulatory requirements.
- Maintain regulatory reporting procedures, process maps, controls, and operating manuals.
- Support regulatory reviews, audits, and compliance monitoring activities.
- Assist with regulatory returns, attestations, and responses to regulator enquiries.
- Contribute to the development and ongoing enhancement of the Transaction Reporting Target Operating Model.
Change & Continuous Improvement
- Support implementation of regulatory change initiatives, including updates to reporting requirements, reporting logic, and data models.
- Participate in testing of system enhancements and reporting rule changes.
- Recommend improvements to controls, automation, and operational efficiency.
- Assist in the delivery of strategic projects affecting transaction reporting frameworks.
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Management Information & Reporting
- Produce MI and KPI reporting relating to reporting completeness, accuracy, timeliness, and exception volumes.
- Track and report on key risk indicators, reconciliations, and outstanding breaks.
- Prepare reporting packs for governance forums, Compliance, and senior management.
- Monitor reporting trends and identify emerging risks.
Stakeholder Management
- Act as a key point of contact for transaction reporting matters.
- Build effective relationships with Compliance, Risk, Technology, Operations, Trading, and external service providers.
- Liaise with counterparties, trade repositories, ARMs, and vendors regarding reporting issues and data quality matters.
- Support internal and external audits through provision of evidence and documentation.
We're a global investment manager. We help institutions, intermediaries, and individuals around the world invest money to meet their goals, fulfil their ambitions, and prepare for the future.
We have around 6,000 people on six continents. And we've been around for over 200 years, but keep adapting as society and technology changes. What doesn't change is our commitment to helping our clients, and society, prosper.
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