Specialist - Regulatory Operations

Own daily MiFID trade and transaction reporting controls, including exceptions, rejects and reconciliations

Investigate reporting breaks and data quality issues, identifying root cause and driving remediation actions through to closure

Review reportability, field population and reporting logic across relevant MiFID transaction reporting and trade reporting flows

Analyse trade lifecycle data from capture through to regulatory submission, challenging completeness, accuracy and timeliness where required

Produce and maintain Management Information (MI) on reporting volumes, data quality, exceptions, trends and control effectiveness

Support impact assessments for regulatory, business or technology changes affecting MiFID reporting

Support data discovery, requirements gathering, documentation and rule interpretation activities when engaged by Change or Technology teams

Participate in testing activities, including UAT, test case execution, defect analysis and evidence review

Maintain and challenge data mappings, reporting logic documentation, procedures and control frameworks

Liaise with Technology, Operations, Compliance, Change teams and external vendors to support accurate and timely reporting

Escalate issues appropriately, track remediation actions and provide clear status updates to stakeholders

Support audit requests, regulatory reviews, assurance testing and remediation activity

Provide guidance to Associates and help build MiFID reporting capability within the Bengaluru team

Exposure to other regulatory reporting regimes, such as EMIR, SFTR, MAS, CFTC or ASIC

Experience with ARMs, APAs, UnaVista, Control Now, DTCC or similar regulatory reporting platforms

Exposure to remediation programmes, regulatory enquiries, audit reviews or assurance testing

SQL, Power BI, Python or other data interrogation and analysis tools

Experience supporting UAT or change delivery initiatives

You can work independently and apply judgement when investigating reporting issues