Regulatory Reporting Compliance Officer

London, South East England

Job purpose

As subject matter expert for Regulatory Reporting within Compliance, the Compliance Officer is responsible for defining the MIFIR, EMIR, SFTR and Post-Trade Reporting rules relevant to the Firm’s business activities and processes.

Working alongside the Firm’s Regulatory Reporting Team ("RRT") and acting as the point of escalation for the RRT, the Compliance Officer assists in maintaining a robust regulatory reporting framework to ensure ongoing compliance with all applicable regulatory requirements and internal procedures at all times.

To act as the second line of defence for regulatory reporting by performing ongoing monitoring and surveillance and periodic testing of the Firm’s controls. To be the point person within Compliance for internal audit and review work relevant to regulatory reporting.

To ensure the delivery of training to staff involved in the regulatory reporting process. To assist in the production of monthly MI and KRIs to identify risk in relation to regulatory reporting and to communicate such risk to senior management and the governing body.

Main duties

In the context of MIFIR Transaction Reporting, EMIR, SFTR and Post-Trade reporting:

  • Maintain a detailed understanding of the Firm’s products and activities relevant to regulatory reporting and the processes operated within the firm to ensure ongoing compliance with applicable regulations.
  • Be responsible and accountable for the maintenance of responsibilities (RACI) matrix with clearly defined roles and responsibilities relevant to regulatory reporting processes.
  • Ensure that all Compliance Policies and Procedures relevant to regulatory reporting are in place and remain accurate and up to date.
  • Ensure that all daily reporting is completed accurately and on time, or that issues/discrepancies are investigated and resolved and escalated promptly.
  • Ensure that records of incidents maintained by the RRT are sufficiently detailed so as to be able to identify potential systemic risk and demonstrate appropriate and timely issue resolution.
  • As second line of defence, define and implement a programme of regular monitoring and surveillance, with appropriate testing and controls.
  • Keep up to date on the relevant reporting requirements.
  • Raise project requests necessary to implement regulatory change on a timely basis.
  • Assist in the implementation of new products by advising on reporting requirements and approving results of testing if required.

Contribute to the design and delivery of relevant training to all staff involved in the regulatory reporting processes. Ensure that training is delivered to all staff upon joining with refresher training being provided on at least an annual basis.


  • Recognised industry courses / qualifications relevant to regulatory reporting


  • Minimum 2-3 years’ work experience within a regulatory reporting control function


  • Good working knowledge of Regulatory Reporting requirements (MIFIR, EMIR, SFTR, Post-Trade Reporting)


  • Good analytical skills
  • Attention to detail
  • Russian language skills preferred but not essential