Trade And Transaction Reporting Business Control
London, Reino Unido
• Oversight of daily reporting processes, exception management, and the associated control framework. This includes MiFID, EMIR and Dodd Frank Transaction reporting, as well as various other trade and transaction reporting processes, such as Primary Dealer Reporting, and new market initiatives.• Work alongside groups across Operations, Transaction Management, Compliance and Operational Risk Management to ensure gaps in reporting processes are identified.• Production of documentation such as Incident Management, Risk Assessments, Business Requirements and Test Plans where control gaps are identified. Work with the previously mentioned teams on escalation, awareness and remediation.• Documenting and maintaining trade flows, with reconciliation to reporting rules to ensure all asset classes are captured in the relevant transaction reporting tools.• Review procedure documents owned by Operations and Transaction Management and reconcile against the reporting rules to ensure the company is meeting reporting requirements.• Provide management information on reporting processes to stakeholders and senior management, to ensure visibility of volumes, trends and issues with regulatory reporting.• Provide Subject Matter Expertise across the organization on Trade and Transaction reporting matters.