Morgan McKinley
Transaction/Regulatory Reporting Compliance AVP
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Transaction/Regulatory Reporting Compliance AVP
The Transaction Reporting Practice maintains regulatory expertise to provide a point of contact globally on the regulations in scope (e.g. EMIR, SFTR, MIFID).
The Practice also interacts with the main regulators in Europe regarding the firms reporting activity or support local Compliance teams in their engagement with regulator.
There are four main themes:
Advisory – advising the business and 1LoD stakeholders on Compliance topics for day-to-day queries and participating in relevant approval and governance committees regarding Transaction Reporting.
Regulatory – Being knowledgeable about regulations in scope that impact the business and implementing measures and set guidance to ensure adherence. Providing input into policies, procedures, and Business Requirement Documents. Interfacing with regulators.
Risk & Controls – reviewing and challenging the business on the adequacy of risk controls, providing markets expertise in the Risk Assessment, independent testing, control plan and IG review processes
Training & Awareness – Designing and delivering training on relevant rules and regulations applicable to the Global Markets businesses and undertaking regular induction and refresher training.
Job purpose
The role will be responsible for covering post-trade Transaction Reporting. This will be part of the Transaction Reporting Practice, a team split across London and Paris, providing Compliance support to Front office, Operational and Compliance teams across CIB and the Group, with a strong focus on Global Markets, on all matters relating to Transaction Reporting.
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Topics will include providing advice on the latest regulations (both global and local); input and opinions into Business approval committees (TAC/NAC etc); participation in the bank-wide remediation programme; check and challenging 1LoD KPIs and related actions, dealing with a large number of stakeholders across the bank (IT and Operations, Internal Audit, Senior Management in Compliance and the Business), and interaction with regulators.
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The role holder will need to have a good technical and practical knowledge of the Transaction Reporting subject, risk mitigation or audit methodology and the ability to quickly apply that to the organisation. The candidate will be required to work closely with the relevant business Advisory teams (in London, and globally), other Compliance and various 1LoD functions (operational control teams, MO, IT, etc.).
Key Responsibilities
Check and Challenge 1LoD analysis, controls results and related corrective actions. Challenge the Business and Functions on the adequacy and effectiveness of their risk controls and supervisory framework around Transaction Reporting, leveraging the input of management as necessary. Provide Compliance advice and guidance on all matters relating to Transaction Reporting including: Input & opinions to Business Approval Committees (TAC/NAC etc) Support for ongoing remediation programmes and incidents Regulatory change management Engagement with Regulators as required (FCA, AMF etc) Business As Usual (BAU) queries on transaction reporting requirements and regulations Produce detailed and high quality output (i.e. reports, training material, policies/procedures) Provide Compliance training to the Business where required and help design training on rules, regulations or best practices, in coordination with 1LOD and other Compliance teams. Establish and develop good working relationships with the business members, ensuring they understand the rules, regulations, policies and procedures so they are able to manage their risks. Demonstrate understanding of the Business strategy and identify potential risks proactively and positively to protect the bank. Manage confidential and sensitive information. Provide management information and reports within the timeframe requested
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