Compliance Assurance – Trade, Transactions and Position Reporting AVP

We are seeking a Compliance Assurance – Trade, Transactions and Position Reporting Assistant Vice President to provide independent second-line review of how the firm meets its regulatory obligations.

The successful candidate will have proven experience in financial services, including hands-on experience in trade or transaction reporting, and detailed working knowledge of UK MiFIR transaction reporting.

Key Responsibilities:

• Develop and refresh the Compliance Assurance Annual Plan, focusing on areas of highest risk and value in relation to Compliance Risk.
• Deliver risk-based assurance activity to validate the effectiveness of controls and processes designed to mitigate Compliance Risk.
• Identify potential risks associated with non-compliance or control weaknesses in relation to Compliance Risk.
• Communicate Compliance Assurance reports and issues to enhance the effectiveness of Compliance Risk management and oversight.
• Build and maintain effective relationships between Compliance Assurance and stakeholders across the three lines of defence.
• Proactively adopt Data Analytics capabilities to increase the efficiency, effectiveness and coverage of Assurance work.

Assistant Vice President Expectations:

• Advise and influence decision making, contribute to policy development and take responsibility for operational effectiveness.
• Lead a team performing complex tasks, using well-developed professional knowledge and skills to deliver on work that impacts the whole business function.
• Demonstrate leadership behaviours to create an environment for colleagues to thrive and deliver to a consistently excellent standard.

Requirements:

• Proven experience in financial services, including hands-on experience in trade or transaction reporting.
• Detailed working knowledge of UK MiFIR transaction reporting at field level, with working knowledge of UK EMIR (post-Refit) and awareness of SFTR.
• Working knowledge of major holdings disclosure and short selling reporting.
• Demonstrable independent review, testing or control assessment work.
• Practical experience of reporting controls.
• Proficient in SQL and comfortable interrogating large datasets.

Location: Glasgow

Employment Type: full-time