Specialist - Global Transaction Reporting

Responsibility is for the day-to-day delivery of reporting services on behalf of Vanguard, as well as to optimise process and create a robust control framework. Reporting services will include EMIR Refit and UKMIR transaction reporting, MIFID II / MIFIR transaction reporting, ASIC transaction reporting, SFTR and others.The specialist will have BAU responsibility for appropriateness of and adherence to robust process and controls. In addition, the role includes responsibility for ensuring the timeliness and accuracy of reporting, remediation, monitoring the regulatory landscape, the management of internal and external relationships, and Firm-wide project collaboration.

Key Tasks & Responsibilities:

• Monitor and understand the Firm's ongoing regulatory reporting obligations


• Ensure effective delivery of daily, monthly, quarterly and ad-hoc regulatory reporting


• Ensure remediation and resubmission of transactions within Regulatory deadlines or agreed timeframes


• Build and manage effective relationships with all internal stakeholders and partners


• Build and manage effective relationships and provide oversight of vendor partners



• Work closely with internal and external data owners to ensure high quality source data and SLAs are adhered to


• Continually challenge processes, and implement robust testing and reconciliation protocols


• Perform regular risk and control assessments. Record and demonstrate a robust control environment, and work to remedy failing, missing or inadequate controls


• Ensure maintenance and appropriate evolution of detailed procedures and operating model documentation


• Work closely with Compliance to identify, track, assess and respond appropriately to regulatory reporting developments


• Ensure that business changes are reviewed for impact on regulatory reporting, so that planned changes are implemented safely and effectively


• Investigate the potential impact to the transaction reporting process and requirements of new instruments and product offerings


• Attend key industry and supplier events to obtain relevant market intelligence for the Firm on both regulatory change, and possible solutions


• Maintain a high level of knowledge relating to applicable regulations, consultations, guidance, and industry best practice


Personal Regulatory Responsibilities:

• Adhere to the FCA's, CBI's and other Regulatory Conduct Rules, understanding that they set basic standards of good personal conduct


Accountabilities:

• Successful delivery of reporting services to regulators, clients, third parties as required


• Full transparency and escalation of E&Os, providing detailed information, remediation and preventative assurances


• Demonstrating that robust control environment exists and is adhered to


• Demonstrating that regulatory rules are understood and followed as they are intended


• Ongoing measurable talent development for direct reports


• Maintenance and strengthening of personal and Team regulatory knowledge


• Demonstrate adaptability around key Firmwide decisions and directives
  
  Excellent detailed knowledge of MIFID, EMIR Refit, UKMIR and Refit mandatory AIFMD, Shareholding Disclosures and SFTR experience desirable


• Experience in all instrument classes across a wide range of markets


• Proven ability to analyse current and future regulatory requirements and translate them into practical implications for the Firm


• Experience in using the following tools and platforms: DTCC; RHUB and Kaizen


• Experience of operating in an environment where multiple trading platforms/OMS/mechanisms are used, preferably including Bloomberg, CRD, Aladdin



• Prior experience leading high performing teams


• Experience of working on regulatory reporting and business-wide projects


• Established network within the Regulatory Reporting space


Candidate Profile, Skills & Knowledge:

• Meticulous eye for detail


• Deadline and process-driven


• Strong English language written and oral communication


• Confident communicating and leading discussions at all levels


• Good problem solving skills


• Comfortable using spreadsheets and interrogating large set of complex data


• Approachable and friendly manner


• Highly motivated and driven to succeed


• A flexible approach to workload and business change
  
  Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.