MI & Regulatory Reporting Analyst

 London - Great Britain       Permanent contract        Other job functions


Description of the Business Line or Department

The post will be responsible for client asset oversight, covering Client Money exemption, custody and collateral under the FCA CASS rules

Summary of the key purposes of the role

  • Perform Internal Custody Record Checks daily and investigate discrepancies (if any)
  • Daily oversight of the Client Money Banking exemption
  • Assist the CASS Manager/ SMF18 in implementing best practise across the firm and ensuring all calculations and regulatory returns are supported by working papers, which are clearly documented and referenced
  • Escalate risk within the scope of your position
  • Assist Internal and External Auditors with the provision of related data and supporting documentation during all audit processes.
  • Assist with compiling information for the monthly Client Money and Asset Return (‘CMAR’)
  • Ensure CASS related procedures and policies in place and remain current.
  • Assist the CASS Manager/ SMF18 with CASS related tasks.
  • Deputise for the CASS Manager if required.
  • Assist on ad-hoc CASS related projects.

Key Responsibilities

Daily tasks

  • Review risk events logged by different parts of the business in the bank’s internal risk management tool and analyse CASS impact.
  • Daily update of monthly CMAR file including the investigation of any discrepancies.
  • Liaise with Operations Teams (Settlements, Corporate Actions and Custody) to ensure compliance with CASS rules and assist with any queries or investigate any CASS related incidents.
  • Liaise with nominated Compliance CASS Oversight person as necessary. 

Monthly tasks

  • Ensure physical stock reconciliations have been completed and upload records in CASS RP.
  • Assist with completing the monthly CMAR return for data submission in GABRIEL and upload relevant information to the CASS RP.
  • Assist with arranging monthly CAOC meeting, producing minutes and supporting documentation.

Annual tasks

  • Assist Internal and External Auditors with the provision of related data and supporting documentation during all audit processes.
  • Assist the CASS Manager with compiling and sending out annual due diligence questionnaires to the Bank’s custodians.
  • Assist the CASS Manager with reviewing returned questionnaires and compile custodian scoring profiles.

Level of Autonomy and Authority

  • The job holder is able to make decisions on daily tasks, or request support from CASS Manager.

  • Where there is a wider impact, or assistance is required, refer to SMF 18 with CASS responsibilities for guidance

All our positions are open to people with disabilities

Profile Required

Competencies and Work Experience

  • Regulatory skills:  experience of regulatory responsibilities of an FCA supervised firm
  • Excellent communication and interpersonal skills with ability to communicate well with all levels of a diverse range of staff, including senior and/or executive management
  • Meet tight reporting deadlines
  • Proven ability to work independently as well as capable of working effectively as part of a team
  • Strong documentation, presentation, problem solving, organisational and analytical skills
  • Knowledge of the FCA client asset sourcebook and future planned developments to that sourcebook
  • Sound knowledge of financial instruments, as traded by clients of SGH
  • Ability to research, gather and consolidate information from a variety of sources
  • Involved in developing and improving the control environment, internal reporting processes and systems
  • Has an interest in the changing regulatory environment
  • Is committed to personal development as well as the development and wellbeing of other team members
  • Assertive, self-confident, self-motivated and determined to achieve personal and team goals
  • Possesses a proactive and solution orientated attitude

Required Registrations

  • Needs to understand the regulations applicable to the performance of the role

  • Needs to build a good working relationship with compliance and other control functions

  • Role holder must have unquestioned fitness & propriety, integrity

Why Join Us

If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Societe Generale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender reassignment

Business Insight

People join for the impact they can have on us. They stay for the impact we have on them. A flatter structure offers visibility and exposure beyond that of our competitors, so you know our names, and we know yours. It's personable, human, and inspires success through passion. By encouraging open mindedness and a willingness to share ideas, we have adapted to market changes and thrived through innovation. Bringing words like “hard work” and “dedication” together with “community” and “respect” has enabled us to work collaboratively and build our future together. We call this Team Spirit and it's what makes us different. It's what makes you different
Job code: 19000OEZ
Business unit: Kleinwort Hambros
Starting date: 07/10/2019
Date of publication: 09/09/2019
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MI & Regulatory Reporting Analyst

Permanent contract   |   London - Great Britain   |   Other job functions