FD Capital is pleased to be supporting a growing FCA-authorised investment firm in the appointment of a MIFIDPRU Regulatory Reporting Manager. Our client is a well-established London-based financial services business operating within the UK investment sector. The firm has grown significantly in recent years and now employs approximately 50-250 staff across investment management, operations, compliance and corporate functions. As the business continues to scale, regulatory reporting requirements have become increasingly complex. This newly created role reflects the firm's commitment to strengthening its regulatory infrastructure and ensuring the highest standards of reporting, governance and prudential oversight. The successful candidate will become the firm's subject matter expert for MIFIDPRU reporting and will work closely with Finance, Compliance, Risk and senior management. ResponsibilitiesThe Opportunity This role would suit an individual with a strong understanding of FCA prudential regulation who is seeking ownership of regulatory reporting within a growing investment firm. You will be responsible for coordinating and overseeing all aspects of MIFIDPRU reporting, ensuring accuracy, timeliness and compliance with FCA requirements, while helping the organisation enhance its regulatory governance framework.
Responsibilities
- Lead the preparation and submission of MIFIDPRU regulatory returns and prudential reporting.
- Maintain ownership of ICARA processes, including ongoing monitoring, review and documentation.
- Support the calculation and monitoring of Own Funds, Fixed Overheads Requirement (FOR), K-Factors and capital adequacy metrics.
- Coordinate regulatory reporting activities across Finance, Risk, Compliance and Operations teams.
- Develop and enhance regulatory reporting controls, procedures and governance frameworks.
- Prepare management information and Board reporting relating to prudential risk and regulatory capital.
- Support internal and external audits relating to regulatory reporting and prudential requirements.
- Liaise with the FCA regarding reporting matters and information requests.
- Monitor regulatory developments and assess their impact on the firm's reporting obligations.
- Drive improvements in reporting processes, automation and data quality.
- Act as the firm's internal subject matter expert for MIFIDPRU requirements.
Qualifications
- Strong experience of FCA regulatory reporting within an investment management, wealth management, broker-dealer or wider investment firm environment.
- Practical experience preparing or reviewing MIFIDPRU returns.
- Detailed understanding of ICARA requirements and prudential risk frameworks.
- Knowledge of Own Funds calculations, FOR requirements, K-Factor methodologies and capital adequacy monitoring.
- Experience working closely with Finance, Compliance and Risk functions.
- Strong analytical and problem-solving skills.
- Excellent stakeholder management and communication abilities.
- Advanced Excel and financial reporting skills.
Highly Desirable
- Experience within a UK asset manager, wealth manager or broker-dealer.
- Previous involvement in regulatory change or remediation projects.
- Accounting qualification (ACA, ACCA, CIMA) or relevant regulatory qualification.
- Experience implementing regulatory reporting systems or process automation initiatives.
- Exposure to FCA supervisory reviews and regulatory interactions.
