Our client, a successful Securities Trading/Investment firm is seeking a highly skilled Regulatory Reporting Consultant to join its growing Compliance function in London, initially for a 6 month contract.
Reporting directly to the Chief Risk Officer, you will act as the firm's subject matter expert (SME) for transaction and trade reporting obligations, with a primary focus on MiFID II / MiFIR and EMIR across a broad range of financial products including FX Forwards, Futures, Equities, Total Return Swaps (TRS) and Price Return Swaps (PRS).
You will take end‑to‑end ownership of reporting workflows, lead reconciliations and exception management, and work closely with their technology team to drive automation. The role requires regular engagement with senior stakeholders, front office, and external parties.
Key Responsibilities
MiFIR Reporting
* Own the end‑to‑end production and submission of MiFID II / MiFIR transaction reports.
* Manage three‑way reconciliation processes and lead exception investigation and resolution.
EMIR Reporting
* Lead all aspects of EMIR trade and position reporting (UK EMIR and EU EMIR), including timely submissions to a recognised Trade Repository.
* Perform prompt reconciliations and pairing/matching oversight, ensuring outstanding breaks are investigated and resolved.
* Maintain full awareness of lifecycle event reporting requirements across OTC and exchange‑traded derivatives.
* Own the end‑to‑end control framework for regulatory reporting, including completeness checks, accuracy testing, and data integrity reviews.
* Proactively identify root causes of reporting failures and drive resolution with technology and operations teams.
* Prepare and maintain reporting logs, audit trails, and documentation to support internal and external audit activity.
* Work alongside the technology team to define requirements and deliver automated solutions for reporting and reconciliation workflows.
* Conduct gap analyses to identify efficiencies in current workflows and document business requirements to a high standard.
* Perform UAT on new reporting setups, system changes, and new entity onboarding.
New Product & Regulatory Change
* Identify and map reporting obligations for new product types, including instrument classification and field mapping for FX Forwards, Futures, Equities, TRS, and PRS.
* Monitor evolving regulatory requirements (e.g., EMIR Refit, MiFIR Review) and assess the impact on existing reporting processes.
* Support the firm in adapting to regulatory change with timely updates to procedures and controls.
Stakeholder Engagement & Advisory
* Act as the internal SME for MiFIR and EMIR, providing advice and training across Compliance, Front Office, and Operations.
* Produce high‑quality management information (MI) to support senior leadership and governance committees.
* Support responses to regulatory inquiries, internal audit reviews, and ad hoc requests from senior management.
* Liaise with external stakeholders including vendors, ARMs, Trade Repositories, and counterparties as required.
Role Requirements
* Minimum 5 years of hands‑on regulatory reporting experience at an investment firm or broker‑dealer, with a specific focus on MiFIR transaction reporting and EMIR trade reporting.
* Deep working knowledge of MiFID II / MiFIR and EMIR, including field‑level requirements, reporting logic, and lifecycle event obligations.
* Proven experience performing reconciliations and managing exceptions across reporting pipelines.
* Strong product knowledge across FX Forwards, Futures, Equities, Total Return Swaps, and Price Return Swaps, including their trade lifecycle and reporting treatment.
* Advanced Excel skills; proficiency in Python and/or SQL for data analysis and reporting automation.
* Ability to write clear business requirements and define and execute test cases for reporting system changes.
* Strong analytical skills with meticulous attention to detail and the ability to identify anomalies in complex datasets.
* Excellent communication skills, with the ability to clearly articulate issues and present findings to senior stakeholders.
* Previous experience in using Eflow is highly desirable.
* Immediately available or with short notice is preferred.
Qualified candidates are encouraged to apply or reach out for a confidential discussion.
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