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Transaction Reporting Analyst

  • Location: United Kingdom
  • Salary: Negotiable
  • Job Type:Permanent

Posted about 1 month ago

  • Sector: Operations
  • Contact Email:
  • Start Date: 02 June 2022
  • Expiry Date: 02 July 2022
  • Job Ref: JN -062022-43309

The role holder will be required to perform the daily reporting processes and associated controls deemed necessary to ensure that the Bank meets all of its regulatory transaction reporting obligations across all applicable regulatory regimes, namely:

·       MiFID Transparency

·       MIFID Transaction

·       MIFID Commodity Position

·       EMIR (UK & EU)

·       MAS

·       LBMA

·       CFTC (Dodd-Frank)

·       SFTR (UK & EU)


Key Responsibilities


Client Service

·       Management of all external requests and communications in relation to the exchange of Unique Transaction Identifiers (UTIs)

·       Management of all external requests and communications in relation to the provision of delegated reporting services and trade repository reconciliation exceptions

·       Strong partnership with our key stakeholders; namely Compliance, Operations peers, and IT



·       Ensuring submission of reporting files and messages within the regulatory deadlines

·       Monitoring and resolution of reporting exceptions and rejections

·       Monitoring and resolution of exceptions on all internal and external reconciliations

·       Monitoring and resolution of exceptions on all data assurance checks

·       Identification and escalation of late reporting to all key internal stakeholders


Risk mitigation

·       Production of Management Information (MI) for all key stakeholders and participation in all internal governance forums as required

·       Continuous evaluation and improvement of the function's control framework

·       Creation and review of procedures for all tasks performed

·       Timely escalation of all regulatory and risk incidents through the Bank's formal channels

·       Capture of performance and risk indicators for Operational Risk measurement

·       Perform periodic deep-dive analysis on sample data to identify compliance issues


Enabling change

·       Provide support to Change the Bank (CTB) initiatives by participating in the development of business requirements, test scenarios, and execution of user testing schedules

·       Participation in industry forums and working groups

·       Proactively manage own personal development and training

·       Identify opportunities for process and control enhancements and drive delivery

·       Engagement with stakeholders on behalf of the function in collaboration and escalation situations

Clients Assets

·       Execution of controls in line with policies and procedures

·       Producing and reviewing regular and complete MI on CASS adherence and control effectiveness.

·       Timely escalation of CASS risks and issues to the Regulatory Operations Manager




Preferred Qualifications and Experience


Preferred qualifications:

·       Education to Degree level or equivalent highly desirable


Preferred experience:

·       Experience in regulatory transaction reporting in at least one jurisdiction

·       Demonstrable experience in implementing and improving policies and procedures within an Operations environment

·       At least 2- 5 years of experience in a financial institution

·       At least 1-2 years of experience in a transaction reporting function

·       Previous experience in preparing risk and controlling MI


Knowledge, technical skills, and expertise:

·       Knowledge of CASS requirements

·       Global Markets products knowledge

·       Understanding of operational risk management techniques

·       Strong Excel skills


Personal attributes:

·       Team player

·       Resilience

·       Pays attention to detail

·       High level of integrity


The role would suit someone who is:

·       Able to navigate the complexity

·       Can work in ambiguity