Regulatory Operations Associate

Job Description:

Our client, a global financial services firm based in London, is seeking a Regulatory Operations Associate to join their team on an initial 12 month contract.

• Strong communication and interpersonal skills and ability to seamlessly interact with the Business units, Compliance, and other key stakeholders.


• Strong subject knowledge (preferred) in at least one of the following: MiFID II, EMIR, SFTR, UMR or other relevant global regulatory regimes.


• Good general product knowledge.


• Ability to self-drive projects and deliverables owned by other teams.


• Attention to detail and research/ investigative skills.


• Exceptional organisational skills.


• Problem solving skills to mitigate risks associated with the business.


• Ability to multi-task to handle various business requests and prioritise time accordingly.


• Work independently and meet business deadlines with accuracy.


• Ability to effectively manage pressure and stressful business demands.


• Sound risk and control mindset, excellent judgement, and ability to prioritise.


• Ability to quickly digest new information and learn new businesses and processes.


• Adaptability to the changing environment.

• Support the activities of the team pertaining to European regulations such as SFTR, EMIR, MiFID II and UMR, by ensuring clients are onboarded with the necessary regulation information and documentation.


• Work with Legal, Compliance, BU, Operations and Technology to review upcoming regulations, create solutions, drive consensus, and oversee implementation in systems and processes.


• Review and remediate clients on exceptions reports.


• Correctly scope in the client population that will need to adhere to respective regulations and ensure the correct requirements are being requested.


• Review live trades that are non-complaint to mandatory clearing (EMIR, DF, etc.), UMR documentation and venue execution (SEF/ MiFID II) mandates.


• Develop SME knowledge on regulations covered by the tea, and work to improve controls and quality in processes and systems.


• Handle volume spikes and prioritise work including ad-hoc requests and projects to meet business demands in a timely manner.


• Escalate issues in a timely manner to the regional manager.


• Deliver quality results in a timely manner and within required deadlines.


• Respond to queries on regulations and client reference data.


• Provide regular status updates and metrics to managers.


• Establish good working relationships with regional teams and internal stakeholders across various jurisdictions.


• Track and manage interdependencies, critical path and risk status.


• Review and strengthen regulatory controls, both tactical and strategic.

Core-Asset Consulting is an equal opportunities recruiter and we welcome applications from everyone irrespective of age, disability, gender, gender identity or expression, race, colour, ethnic or national origin, sexual orientation, religion or belief, marital/civil partner status or pregnancy.

Job reference: 15938

To apply for this vacancy applicants must be eligible to work in the UK in accordance with the Immigration, Asylum and Nationality Act 2006.

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Core-Asset Consulting offers specialist recruitment services to asset management, accounting & finance, asset servicing, legal and the wider financial services sector in Scotland.

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