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Regulatory Disclosure Reporting

  • Location: London
  • Sector: Compliance
  • Salary: £60000 - £65000 per annum
  • Job type: Contract/Interim/Temporary
  • Date posted: 03/07/2017
  • Job reference: 27087

An exciting new opportunity has become available within a reputable asset manager for a Disclosure Reporting Manager.

Regulatory Disclosures

  • To ensure that all relevant short position, long position, transparency, takeover, company-specific, MiFID, Section 793 and other regulatory disclosures and reports in the 80+ EMEA jurisdictions under the job holder's responsibility are made in a complete and accurate manner, meeting regulatory and other deadlines.
  • To carry out controls, checks and reconciliations throughout the department to minimise exposure to risk; to ensure these allow the team to meet its reporting responsibilities and to carry out all routines as described in the department's procedures.
  • To co-ordinate with other areas globally including Wealth Management, Capital Markets and Private Banking to obtain all necessary information to verify disclosure positions and transactions.
  • To instruct external counsel where required regarding global disclosures in order to protect interests and reputation and clients and to minimise the possibility of regulatory fines, censure and other penalties.
  • To collaborate in the preparation of reports for senior management as required.
  • Assisting the Regulatory Reporting Manager in developing and maintaining all databases and other systems required to support this activity.
  • To maintain a control and compliance culture
  • To maintain up to date knowledge of industry trends, practices and initiatives relevant to the function
  • To participate fully in ensuring all relevant corporate and departmental housekeeping disciplines are maintained including maintaining and using key performance indicators
  • To use all reasonable efforts to ensure the department continues to fulfil and develop its functions to reflect changing regulatory developments.
  • To regularly review and enhance all controls, checks, reconciliations and procedures to ensure continued relevance and to drive improvements wherever possible.
  • To challenge results, reports and answers and to back-check wherever possible.
  • To make spot decisions on disclosure matters utilising regulatory knowledge, experience and precedents.

Organisation and development

  • To advise the business in respect of disclosure developments and implications.
  • To collaborate in the preparation of reports for senior management as required.
  • To keep up-to-date in respect of disclosure related regulatory developments, industry trends, practices and initiatives relevant to the department; to record, assess and interpret the impact of such developments and make changes to processes to meet these; to record decisions made and the underlying reasons.
  • To maintain a record of external legal advice received on disclosure matters to aid prompt reporting and to avoid unnecessary duplicate requests for advice; to maintain a record of external legal costs, to pre-approve invoices for payment and to ensure that legal expenses are contained with the agreed budget.
  • To maintain a record of transactions reported to the FCA and to pre-authorise invoices for payment.
  • To record MI, use it to identify trends and make recommendations to senior management or take action.
  • To record, track and promptly correct any errors; to escalate issues where required and ensure that lessons learnt improve processes and prevent repetition.
  • To keep accurate and logical paper and electronic records of all relevant materials and to manage the storage, retention and secure destruction of these in accordance with regulations.

This is a one year Fixed Term contract and the client is willing to pay a pro rata salary up to £65,000.

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