Controllers, Non-Financial Regulatory Position Reporting, Associate, Birmingham

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Controllers, Non-Financial Regulatory Position Reporting, Associate, Birmingham

mid · Risk & Compliance

OUR IMPACT

REGULATORY POSITION REPORTING

Regulatory Position Reporting is a global team that ensures that the firm is compliant with a wide range of non-financial regulatory reporting obligations. We partner with groups across the firm and industry to accurately represent firm and client order, execution and position information to regulators across a wide range of traded financial products and businesses. Our team prides itself on best-in class operational design and delivery of high quality controls to manage regulatory risk. From day one, team members play a vital role in upholding the three core principles of client focus, process innovation and risk management.

YOUR IMPACT

We’re looking for a professional individual who wants to apply their financial market knowledge and develop their understanding of regulatory reform at the heart of the financial markets. With the continued high rate of change in the regulatory reporting space, Regulatory Position Reporting professionals have the platform to significantly impact their environment and the wider business. Our team is seeking a professional who will collaborate with multiple stakeholders to ensure firm’s compliance across obligations and to improve the reporting processes.

HOW YOU WILL FULFILL YOUR POTENTIAL

Responsibilities include the following:

• Develop extensive subject matter expertise in major European regulations (e.g., ESMA Short Sell Reporting, EMEA Major Shareholder, London Takeover Panel, MiFID).

• Execute key risk and control processes to ensure compliance with non-financial regulatory reporting obligations, including monitoring and adherence to intra-day and weekly deadlines.

• Develop strong relationships with stakeholders in the Business, Engineering, Compliance, and Legal to support reporting functions.

• Consult on business and functional projects to facilitate compliant commercial activity.

• Delve into complex system infrastructure to understand the impact of data flows and booking models on reporting quality.

• Leverage data analytical, automation, and AI-driven tools to detect anomalies in reporting data, mitigate risks, and streamline workflows.

• Identify, design, and drive the implementation of process improvements and solutions to deliver best-in-class system and control frameworks.

• Train and motivate colleagues to achieve personal and departmental business, innovation, and risk targets.

SKILLS & EXPERIENCE WE’RE LOOKING FOR 

BASIC QUALIFICATIONS 

• Bachelor’s degree with 3.5 years of experience in financial services.

• Strong analytical skills with an ability to understand complex workflows paired with meticulous attention to detail.

• Must have strong communication skills to clearly articulate issues and ideas, and provide timely escalation.

• Good interpersonal skills to build strong relationships with key stakeholders.

• Self-motivated team player who has strong organizational skills and the ability to manage competing priorities within tight deadlines.

• Understanding of financial markets, the regulatory landscape, and associated processes.

• Understanding of financial, operational, and reputational risk.

• A proactive mindset toward process improvement, with an openness to learning and adopting AI tools (e.g., Copilot, AI assistants) and automation to optimize daily workflows.

• Understanding of financial products, e.g., equities, exchange-traded derivatives, OTC derivatives is an advantage.

• Working knowledge of project management and business analysis is an advantage.

• Interest in data analysis, process automation, big data, or non-technical process efficiencies is an advantage.

   

PREFERRED QUALIFICATIONS

• Experience with regulatory reporting and monitoring, e.g., ESMA Short Sell Reporting, EMEA Major Shareholder, London Takeover Panel, MIFID

• Working knowledge of trade lifecycle 

• Working knowledge of tradable financial products, e.g. equities, exchange traded derivatives, OTC derivatives

• Working knowledge of financial, operational, reputational risk 

• Experience with Excel, Tableau, Alteryx, and exposure to AI-assisted productivity or automation tools.
• Regulatory rule review and interpretation experience would be a plus.