Template Lifecycle Management Oversee the end-to-end lifecycle of industry data standard and regulatory templates-from data input through generation to dissemination via industry platforms (e.g., FundInfo, European MiFID Template Exchange). Stay up to date with evolving data models and technology (e.g., Openfunds evolution, EMT v4.1, EET v1.1) and update internal processes accordingly Support the onboarding of new More ❯
Regulatory Reporting Analyst/financial reporting EMIR SFTR MiFID This is a new and exclusive opportunity for a junior/associate level Regulatory Reporting Analyst/financial reporting focused on EMIR SFTR MiFID new opportunity Role details Title: Regulatory Reporting Analyst Focus on global post-trade regulatory reporting requirements, including the regimes of MIFID II, EMIR, ASIC & SFTR, EMIR SFTR … MiFID Permanent role This is a junior associate level role, we are looking for someone we can develop and grow Salary £47-67,000 base salary Location: London city and home working hybrid (3 days in office, 2 days at home) This is a superb new permanent opportunity where the manager is specifically looking for a Regulatory Reporting Analyst/… financial reporting analyst who they can grow and develop. This role focuses on EMIR Refit- MiFID II &- SFTR The Regulatory Reporting team is responsible for the regulatory reporting requirements and ensuring that all regulatory reports are submitted on a daily basis. This will include EMIR Transaction, Position, Valuation and Collateral Reporting SFTR Reporting MiFID Reporting Production of timely and accurate More ❯
transaction reporting compliance. Experience/Competences: Essential Working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc. In-depth knowledge of transaction reporting including MIFIR RTS 22, EMIR, SFTR and REMIT In-depth knowledge of MiFID onboarding processes and client classification Experience inMore ❯
play a key role in advising our UK operating entity on a broad range of legal matters, including compliance with applicable UK VASP, e-money/payment services, SMCR, MiFID and other financial services laws and regulations; consumer protection laws; financial promotions (FinProm) rules; new product roll-outs and other strategic initiatives. You will also establish and manage legal policies … closely as legal advisor to business executives and the Compliance team to ensure compliance of UK and international operations with applicable UK VASP, e-money/payment services, SMCR, MiFID and other financial services laws and regulations, and digital currency exchange and broker best practices. Provide legal guidance to international operating entities. Includes responsibility for ensuring legal and regulatory compliance … law firm supporting such clients (ideally with some previous in-house experience). Strong familiarity with one or more key UK financial services regulations and guidelines, such as FSMA, MiFID, SMCR, COBS, FinProm, etc. Experience dealing with regulators such the Financial Conduct Authority (FCA), Prudential Regulation Authority and/or other key UK and European regulators is preferred. Ability to More ❯
subject to the relevant Senior Manager and Certification Regime Rules set by the FCA. This role will perform the following certified functions: Certification - Client Dealing - CD0 Meeting with Clients MiFID II - Staff giving information about investment products, investment services or ancillary services It is essential that you hold or are working towards one of the following list of qualifications (or More ❯
Trade Booking process and Regulatory Trade Reporting, including detailed experience in a BAU or a change role focused on at least one of EMIR, ASIC, MAS, or MiFIR/MiFID II relevantto trade and transaction reporting An understanding of the competitive landscape in Trade Reporting along with associated technology and trends is beneficial Leadership Competencies for this level include Strategic More ❯
as it applies to proprietary trading firms as well as proven experience dealing with regulatory agencies such as the FCA, ESMA, SEC etc. Strong knowledge of UK FSMA, EU MiFiD or similar tradfi and digital asset regulatory regimes. Expertise in responding to, handling and managing regulatory enquiries, document requests and commercial disputes, advising senior stakeholders on and mitigating regulatory and More ❯
as it applies to proprietary trading firms as well as proven experience dealing with regulatory agencies such as the FCA, ESMA, SEC etc. Strong knowledge of UK FSMA, EU MiFiD or similar regulatory tradfi and digital asset regimes. Expertise in responding to, handling and managing regulatory enquiries, document requests and commercial disputes, advising senior stakeholders on and mitigating regulatory and More ❯
monitoring tools (ITRS or similar) Proficiency in managing Kubernetes clusters, including deployment, scaling, storage, observability, and lifecycle management Understanding of financial regulations and reporting requirements in Europe such as MiFID II Person Profile The role will suit someone who relishes the prospect of supporting an expanding business and improving support functions Motivated self-starter who takes ownership of responsibilities, and More ❯
DSS Activities: Leading Ctrl Alt through the application process of Gate 2 to enable the firm to test tokenization structures within the Sandbox; FCA Authorisation: Leading Ctrl Alt's MiFID authorisation process by being the primary contact for the FCA and where required, outside counsel. You will be responsible for engaging relevant stakeholders through the FCA authorisation process, preparing the … the FCA are met. Manage other conduct and compliance risks. Requirements Must Haves 5 - 7 years working in a regulated firm in a senior Compliance role or MLRO role; MiFID experience is considered an advantage; Significant experience in all aspects of UK compliance standards, AML/CTF/FS including customer onboarding, KYC refresh, customer risk assessments, business wide risk More ❯
