Core Compliance Ops - Compliance Advisory
other jobs Robert Walters
Added before 7 hours
- England,London,City of London
- Full Time, Contract
- £400 - £500 per day
Job Description:
Compliance Advisory Ops professional (AVP level) - 3 month contract
A leading international financial institution is seeking an experienced Operations Compliance Advisory professional (AVP level) to join its EMEA Compliance Division on a 3-month contract. This role offers an opportunity to work within a dynamic and globally connected compliance team, providing expert regulatory advice and oversight across the organisation’s enterprise and operational functions.
The successful candidate will act as a Subject Matter Expert (SME) on trade and transaction reporting, equity positions reporting, and operational compliance matters across multiple global regulatory regimes.
Key Responsibilities * Provide expert advisory support on trade and transaction reporting requirements, including but not limited to:
UK/EU EMIR, UK/EU MiFIR/MiFID, UK/EU SFTR, CFTC (Parts 43 & 45), SEC, CSA, HKMA, and MAS reporting.
* Advise on client asset protection and UK CASS rules.
* Support and advise on the firm’s operational framework, including collateral, valuations, margin, and confirmations.
* Act as a key compliance point of contact for equity aggregation and disclosure reporting (e.g. Substantial Shareholding, Short Selling, SEC 13F-1/13F-2).
* Contribute to ongoing remediation and regulatory change projects related to equity positions and transaction reporting.
* Represent Compliance at internal committees and provide challenge on regulatory developments and initiatives.
* Support regulatory correspondence and notifications, maintaining strong relationships with internal stakeholders and external regulators.
* Identify process improvements, enhance risk controls, and promptly escalate any material compliance issues.
Required Experience & Skills Essential:
* Extensive subject matter expertise in global trade and transaction reporting regulations, including UK/EU EMIR, MiFID/MiFIR, SFTR, CFTC, SEC, CSA, HKMA, and MAS.
* Proven experience in Transparency Directive, Short Selling Regulation (SSR), and SEC 13F reporting.
* Strong understanding of UK CASS rules and MiFID requirements for safeguarding client assets.
* Demonstrated experience managing large-scale compliance projects, meeting tight deadlines, and liaising with senior stakeholders.
* Excellent written and verbal communication skills with the ability to interpret complex regulations clearly.
Personal Attributes * Results-oriented with strong analytical and problem-solving skills.
* Proactive and able to operate with urgency and accuracy under pressure.
* Excellent interpersonal skills with the ability to build strong cross-functional relationships.
* Highly organised and capable of managing multiple priorities simultaneously.
* Confident and composed, with sound judgement and decision-making ability.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
A leading international financial institution is seeking an experienced Operations Compliance Advisory professional (AVP level) to join its EMEA Compliance Division on a 3-month contract. This role offers an opportunity to work within a dynamic and globally connected compliance team, providing expert regulatory advice and oversight across the organisation’s enterprise and operational functions.
The successful candidate will act as a Subject Matter Expert (SME) on trade and transaction reporting, equity positions reporting, and operational compliance matters across multiple global regulatory regimes.
Key Responsibilities * Provide expert advisory support on trade and transaction reporting requirements, including but not limited to:
UK/EU EMIR, UK/EU MiFIR/MiFID, UK/EU SFTR, CFTC (Parts 43 & 45), SEC, CSA, HKMA, and MAS reporting.
* Advise on client asset protection and UK CASS rules.
* Support and advise on the firm’s operational framework, including collateral, valuations, margin, and confirmations.
* Act as a key compliance point of contact for equity aggregation and disclosure reporting (e.g. Substantial Shareholding, Short Selling, SEC 13F-1/13F-2).
* Contribute to ongoing remediation and regulatory change projects related to equity positions and transaction reporting.
* Represent Compliance at internal committees and provide challenge on regulatory developments and initiatives.
* Support regulatory correspondence and notifications, maintaining strong relationships with internal stakeholders and external regulators.
* Identify process improvements, enhance risk controls, and promptly escalate any material compliance issues.
Required Experience & Skills Essential:
* Extensive subject matter expertise in global trade and transaction reporting regulations, including UK/EU EMIR, MiFID/MiFIR, SFTR, CFTC, SEC, CSA, HKMA, and MAS.
* Proven experience in Transparency Directive, Short Selling Regulation (SSR), and SEC 13F reporting.
* Strong understanding of UK CASS rules and MiFID requirements for safeguarding client assets.
* Demonstrated experience managing large-scale compliance projects, meeting tight deadlines, and liaising with senior stakeholders.
* Excellent written and verbal communication skills with the ability to interpret complex regulations clearly.
Personal Attributes * Results-oriented with strong analytical and problem-solving skills.
* Proactive and able to operate with urgency and accuracy under pressure.
* Excellent interpersonal skills with the ability to build strong cross-functional relationships.
* Highly organised and capable of managing multiple priorities simultaneously.
* Confident and composed, with sound judgement and decision-making ability.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
Job number 3083932
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Company Details:
Robert Walters
Operating across five continents, with offices in over 30 countries, Robert Walters is a world-leading global specialist recruitment consultancy. With...