Regulatory and Compliance Reporting Manager

Up to £65000 per annum
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PLEASE CONTACT

PAUL GEIST
Regulatory and Compliance Reporting Manager, Manchester or Leeds and 40% homeworking post covid.

Online investment service with a Flat-fee investment platform seeking Investment Firm experience.

Opportunity:

This position will be responsible for the oversight of all prudential reporting in compliance with regulatory requirements. The role will be a supportive function to the Head of CASS & Regulatory Reporting. It will assist with all aspects of regulatory reporting, requiring an understanding of the regulatory environment applicable to a Group containing an investment firm and a credit institution.

Training can be given - The role will also be responsible for supervision of the Treasury Back Office and the daily review of trade reconciliations ensuring compliance with regulatory and associated Treasury limits.

Responsibilities:

  • Ownership of Prudential reporting for a Group containing an Investment Firm and Credit Institution, including CO-REP, FIN-REP other EBA returns. Responsibility for the accuracy of the data included and its compliance with the respective regulatory framework.
  • Ownership of the ICAAP process for the firm, including Pillar 1 compliance, Pillar 2 assessment, stress testing and Wind Down. This includes responsibility for the management of stakeholders involved in the process to ensure an effective challenge process/audit trail and presentation of the ICAAP at Exco/Board committees.
  • Supervision of treasury back office function including line management responsibilities.
  • Accountable for monitoring of the daily capital/liquidity adequacy for the firm.
  • Responsibility for the internal capital forecasts and Executive/Board reporting.
  • Ownership of the periodic Pillar 3 updates for the Group.
  • Maintain the first line of defence in relation to Prudential/Regulatory Reporting, maintaining policies set out by the firm, including appropriate escalation and risk event reporting and appropriate audit evidence is maintained.
  • Develop & maintain relationships with internal stakeholders (Business, Risk, Legal & Compliance) acting as the SME for prudential matters. Leverage these relationships to improve the quality, efficiency and effectiveness of the team.
  • Responsibility for the management of any future SREP engagements in relation to Prudential reporting.
  • Contribute to the development, implementation and embedding of the Prudential Risk Framework.
  • Make informed risk decisions and effectively and credibly debate and challenge management recommendations in line with the firms Risk Management Framework
  • Use the training and competence scheme to maintain the appropriate knowledge, skills and expertise to carry out the role competently.
  • Maintain up to date knowledge of the Prudential Regulatory framework.
  • Promote change through Root Cause Analysis from Risk events completed.
  • Knowledge of the regulatory environment and associated risks that require managing.
  • Logging/reviewing and creating actions around Risk Events – Understanding Risk via training and documentation available.

Skills needed:

  • Sound working knowledge of CRR/CRDIV including an understanding of the regulatory environment applicable to a Group containing an Investment Firm and Credit Institution.
  • Awareness of the Investment Firm Regulation (IFR) / Investment Firm Directive (IFD).
  • Proficient in Excel. Works to a high degree of accuracy at all times.
  • Advanced numeric ability.
  • Advanced financial reporting and analysis.
  • Meets full qualification requirements related to FCA handbook ‘Activity 16’ e.g. CISI level 3 Investment Operations Certificate (or equivalent).
  • Excellent stakeholder management skills.
  • Technically sound with good written and oral communication skills at all levels.
  • Strong report writing & presentation skills.
  • Advanced decision maker and ability to deliver effecting change.
  • Advanced problem solving and ability to perform route cause analysis.
  • Understanding of Investment products; characteristics and applications.
  • Understand the principles of Treating Customers Fairly.
  • Understand the principles of Training and Competence.
  • Outstanding interpersonal skills.
  • Able to work autonomously.
  • Proactive and self-driven networker.
  • Commercial and business acumen.
  • Good coach and mentor to team.
  • Progressive leadership style.
  • Resilient and resourceful.
  • Ability to develop external long-term relationships.
  • Experience of Prudential reporting for a Group containing an Investment Firm and Credit Institution
  • Experience of producing an ICAAP assessment including Pillar 2a/2b analysis and Wind Down
  • Line management experience
  • Awareness of the Investment Firm Regulation (IFR) / Investment Firm Directive (IFD).
  • Proficient in Excel and works to a high degree of accuracy at all times.
  • Excellent stakeholder management skills and able to present up to Board level

Trainging will be given - prudential reporting as the firm is changing and this could be removed front the position.

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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