Lead - Regulatory Reporting

The Regulatory Reporting Lead is responsible for the processing and submission of daily EMIR, MiFID, SFTR and SIX Swiss reporting ("Trade & Transaction Reporting") to regulators. In addition to BAU reporting the Analyst is responsible for quality assurance of data, analysis and resolution of non-standard exceptions, queries and issues raised by clients and internal teams, and providing expert input regarding Trade & Transaction regulations. The role is for an experienced lead in reporting, competent at analyzing and interpreting reporting requirements and prioritizing a demanding and diverse workload.

Key Responsibilities

• Produce daily reporting to agreed timescales for regulatory Trade & Transaction Reporting for asset management entities across the Ameriprise Financial, Inc. group of companies. Ensure that all regulatory reporting is performed to the highest quality and in line with the Regulatory Reporting Standards.
• Produce monthly, quarterly and occasional ad-hoc reporting to agreed timescales for all ECRR Reporting across the Ameriprise Financial, Inc. group of companies. Ensure that all regulatory reporting is performed to the highest quality and in line with the Regulatory Reporting Standards.Develop and maintain Subject Matter Expertise in the following areas of regulatory reporting as defined in the annual goal setting and review process (EMIR ; MiFID Trade Reporting ; MiFID Transaction Reporting ; SFTR reporting ;SIX Swiss Reporting,Industry standard templates published by FinDatEx ; use of CSS Group's Accudelta, Consensus and Silverfinch systems to produce and disseminate reporting ; German Financial Industry enhanced transparency requirements). Expertise should include Columbia Threadneedle Investments daily BAU processes and systems used (Aladdin DTCC SIX Swiss TRAX Unavista); understanding and interpretation of the regulatory requirements for Columbia Threadneedle Investments and their clients; ability to produce scheduled and ad hoc Trade & Transaction MI for internal and external stakeholders.
• Independently resolve complex queries from internal and external stakeholders. Present findings effectively and provide solutions to any issues or risks identified.
• Research, monitor and assess the impact of business changes (e.g. corporate entity change; new instrument types; new products; new clients) and regulatory change (e.g. new types of trade and transactions reporting to Columbia Threadneedle Investments; mandated change such as EMIR refit and FCA divergence from ESMA standards; notifications from Regulatory Change, GCO or Distribution ; industry groups and publications) on selected areas of regulatory reporting.
• Deputies for Trade & Transaction Team Leader and provide expert input to selected internal meetings and forums. Act as primary point of contact for Trade &Transaction Reporting in the Team Leader's absence.
• Ensure the process for end-to-end delivery of selected areas of regulatory reporting (including content supplied by other teams to the Regulatory Reporting team) is robust and controlled. Maintain Operating Model documentation, process, procedure risk and control documentation and KPIs to support this. Contribute towards further streamlining of and risk mitigation of regulatory reporting processes.

Required Qualifications

• Experience of Trade & Transaction Reporting as defined in the Job Purpose Section
• A self-starter - motivated and able to act on own initiative. Enthusiastic.
• Approachable and able to work with people at all levels in the organization.
• A team player: able to motivate & contribute to and or lead effective teams.
• Inquisitive, with good logical, analytical, and diagnostic skills.
• Pro-active, owns and resolves issues; has a strong attention to detail.
• Able to deliver to tight deadlines, whilst maintaining quality.
• Good working knowledge of the Microsoft Office suite.
• Strong understanding of regulations and direct experience of monitoring and disclosure processes.
• Good understanding of instruments (equities, fixed income and derivatives) and products (OEICs, Life/Pension Funds, Hedge Funds)
• Meticulous eye for detail (e.g. for quality checking reporting, reading regulations).
• Good interpersonal and communication skills, both verbal and written.
• Able to manage a variable workload with a variety of deadlines.

Preferred Qualifications

• IMC or similar qualification.
• A sound knowledge of Investment Management processes
• Degree qualified or equivalent