Associate Director, Regulatory Reporting

at  RJ OBrien Associates LLC

POSITION SUMMARY:

Oversight and governance of the company’s Regulatory Reporting obligations and play a key role in ensuring the accuracy and completeness of MiFID and EMIR transaction reports.

• Will handle Reports submissions and exceptions daily as well as participate to any industry forums.
• Will assist in UAT testing and Change management projects related to Transaction Reporting for the firm globally to ensure the firm remains compliant and up to date with the Regulations.
• Will provide support and expertise for any internal audits and remediation matter within the Regulatory Reporting scope
• Will attend relevant Industry Market forums representing RJO’Brien, cascading information to the wider team, and ensuring further action is taken, as appropriate

This will require building effective working relationships with Change, Technology, Compliance, Business and other TR Operations partners.
Duties & Responsibilities

Responsibilities include but are not limited to:

• Effective management and oversight of the Regulatory Reporting team
• Reconciliation of the integrity of raw reporting data out of the Firm’s system(s) and reported data
• Perform Quality Assurance activity across all regulations and business scenarios to identify potential reporting discrepancies
• Oversight and management of breaks and applying prompt remedial action
• Provide oversight and governance of company’s Regulatory Reporting obligations
• Ensure the accuracy and completeness of MiFID and EMIR transaction reports
• Investigate and resolve any reporting errors
• Participate in Regulatory Reporting Project work - developing new or amending existing reporting solutions
• Analyze and manage Data that impacts reporting regimes
• Investigate ad-hoc trading and investment issues that impact reporting
• Produce reports on analysis completed and communicate issues to management
• Liaise with other departments, specifically IT development and back office
• Liaise with regulators, exchanges and providers
• Maintenance of accurate and up to date reporting procedures

CORE SKILLS:

• 10+ years experience within Transaction Reporting, having held management roles as part of this
• Experience within a brokerage firm is highly desirable
• Excellent communication skills with the ability to communicate effectively at all levels
• Solid organization and time management skills
• Ability to prioritize effectively
• Proven understanding of, at a minimum, MiFID II and EMIR regulatory reporting regime – including understanding of reporting requirements & eligibility determinations.
• Ability to accurately analyze and synthesize large amounts of data; keen eye for detail; unafraid to raise questions to both confirm understanding and challenge appropriately.
• Strong problem-solving skills with high levels of accuracy and attention to detail. solid Excel skills are an advantage.

Oversight and governance of the company’s Regulatory Reporting obligations and play a key role in ensuring the accuracy and completeness of MiFID and EMIR transaction reports.

• Will handle Reports submissions and exceptions daily as well as participate to any industry forums.
• Will assist in UAT testing and Change management projects related to Transaction Reporting for the firm globally to ensure the firm remains compliant and up to date with the Regulations.
• Will provide support and expertise for any internal audits and remediation matter within the Regulatory Reporting scope
• Will attend relevant Industry Market forums representing RJO’Brien, cascading information to the wider team, and ensuring further action is taken, as appropriat

Responsibilities include but are not limited to:

• Effective management and oversight of the Regulatory Reporting team
• Reconciliation of the integrity of raw reporting data out of the Firm’s system(s) and reported data
• Perform Quality Assurance activity across all regulations and business scenarios to identify potential reporting discrepancies
• Oversight and management of breaks and applying prompt remedial action
• Provide oversight and governance of company’s Regulatory Reporting obligations
• Ensure the accuracy and completeness of MiFID and EMIR transaction reports
• Investigate and resolve any reporting errors
• Participate in Regulatory Reporting Project work - developing new or amending existing reporting solutions
• Analyze and manage Data that impacts reporting regimes
• Investigate ad-hoc trading and investment issues that impact reporting
• Produce reports on analysis completed and communicate issues to management
• Liaise with other departments, specifically IT development and back office
• Liaise with regulators, exchanges and providers
• Maintenance of accurate and up to date reporting procedure