Vista previa de la oferta
Operational Regulatory Support Associate
Consulting
In this exciting chapter of continued growth and expansion, we’re looking for a passionate Operational Regulatory Support Associate.
As an Operational Regulatory Support Associate in Agency Securities Finance Operations, you help us strengthen the regulatory and control framework that supports Securities Finance activities in Bournemouth. You partner closely with Operations, Compliance, Risk, Technology, and front office teams to ensure regulatory obligations are understood, embedded into day-to-day processes, monitored, and evidenced. You support reporting, reconciliations, exception management, and recordkeeping so we can demonstrate audit-ready execution and continuous control improvement.
Job responsibilities
- Execute business-as-usual processes aligned to regulatory obligations, including reporting support, reconciliations, exception management, and evidence retention.
- Support Securities Financing Transactions Regulation reporting routines, including investigation of issues and coordination of timely remediation.
- Perform Client Assets Sourcebook operational oversight activities, including documentation upkeep, control evidence collection, and periodic review support.
- Monitor Central Securities Depositories Regulation settlement discipline routines, including fail analysis, escalations, and management information and key performance indicators production.
- Coordinate Markets in Financial Instruments Directive operational requirements, including recordkeeping, data quality checks, and governance touchpoints with relevant teams.
- Investigate breaks and exceptions, complete root-cause analysis, escalate appropriately, and track corrective actions through to closure.
- Maintain and improve procedures, control descriptions, and operational playbooks in line with process changes and regulatory updates.
- Prepare clear audit narratives and deliver complete, well-organized evidence for internal and external reviews.
- Participate in change delivery, including user acceptance testing, control implementation, and process enhancement rollout.
Required qualifications, capabilities, and skills
- Experience in Operations, Middle Office, Securities Finance, Collateral, Settlements, or another regulated financial services operations environment.
- Working knowledge of at least one of: Client Assets Sourcebook, Securities Financing Transactions Regulation, Central Securities Depositories Regulation, or Markets in Financial Instruments Directive (or demonstrated ability to learn and apply regulatory requirements quickly).
- Demonstrated ability to produce audit-ready outputs with strong attention to detail and effective deadline management.
- Proven capability to investigate issues and exceptions, apply basic root-cause analysis, and escalate with clear documentation when needed.
- Proficiency in Microsoft Office, especially Excel (pivot tables and basic formulas) and PowerPoint.
- Clear written and verbal communication skills, with confidence collaborating across multiple stakeholder groups.
- Strong ownership mindset with consistent execution discipline.
Preferred qualifications, capabilities, and skills
- Direct experience supporting Securities Financing Transactions Regulation reporting and/or associated exception management.
- Direct experience supporting Client Assets Sourcebook controls, evidence routines, and periodic control reviews.
- Direct experience supporting Central Securities Depositories Regulation settlement discipline monitoring, including fails analysis and escalation routines.
- Direct experience supporting Markets in Financial Instruments Directive operational recordkeeping and/or data governance processes.
- Understanding of Securities Finance products (such as repurchase agreements and stock loan/borrow) and trade lifecycle events.
- Familiarity with operational risk and control frameworks and supporting audits/exams.
- Continuous improvement experience driving remediation of recurring exceptions and process weaknesses.