Regulatory Reporting Analyst

Permanent contract|London|Finance

Regulatory Reporting Analyst

Kleinwort Hambros
London, United Kingdom Permanent contract Finance


Description of the Business Line or Department

Regulatory Reporting team sits with the Middle Office in London and is responsible for managing the Group’s Regulatory Reporting including but not limited to MiFiD II daily transaction reporting, EMIR daily reporting, periodic regulatory submissions.

The team’s responsibility is also to ensure that other key regulatory requirements are met in a timely manner, such as CSDR, SCV, SFTR, PSD, etc.
The team is responsible for ensuring completeness, accuracy, and timeliness of all regulatory reports in scope.
The team helps maintain control standard and provide scalability to cope with existing requirements. These controls include:

  • Submission control:  the team monitors daily submission and swiftly deals with pre and post submission errors
  • Quality assurance: the team carries out test on fixes on issues identified and ensure quality assurance.
  • Remediation: the team operates cross functionally.  Any issues identified are remediated and where required affected transactions are back reported.
  • Governance: the team provides a centralised risk control and governance framework

The team is also working on several internal strategic and Regulatory projects, assessing impact to existing regulatory reporting obligations, and working closely with stakeholders in delivering these changes to ensure completeness, accuracy, and timeliness of submissions as per each obligations SLA

Summary of the key purposes of the role

Regulatory Reporting Analyst will report to the Head of the Regulatory Reporting team

An ideal Candidate has specialist knowledge within MiFID II transaction reporting. Experience with other regulations (especially MIFID II Cost & charges, Single Customer View (SCV), CSDR internalized settlement reporting, PSD and Rep submissions to FCA) would be an advantage.  Key focus would be in performing ensuring daily processes are completed and continuous improvements are delivered for each obligation to be managed by this candidate.

The Candidate should have experience working in strategic and remediation projects within the organization and contributing to it from a Regulatory standpoint.

The Candidate should be dynamic and have experience working in a fast-paced environment with excellent business analysis, communication, and organizational skills.

The role will require working with large, complex sets of data and the candidate should be able to display good experience in data mining and analysis to identify root causes promptly.

This role will require working with different stakeholders at varying levels of seniority across division and across different functions. This role will also require communication with external stakeholders, such as regulators, auditors, etc.

Summary of responsibilities

  • Provide key support to existing regulatory reporting team in performing daily and ad-hoc tasks as and when required
  • Remediation analysis on existing transaction reporting issues, developing business requirements, and identifying solutions for technical solution
  • Detailed analysis, planning and execution on issues raised for re-reporting work (on completeness and accuracy issues)
  • Planning and execution of files for back reporting of transactions to the Regulator in a timely manner. Ability to manage the process manually and in a structured manner
  • Control minded – proactively looking to improve the control framework and ensuring overall risks are reduced
  • Managing cross functional stakeholders at varying level of seniority
  • Quality control: Perform data reconciliation when required
  • Maintain issues log and assist with testing fixes as required.
  • Perform all duties in accordance with the principles outlined in the SG Code of Conduct, as well as the policies and procedures relevant to your responsibilities, to ensure that you adhere to a culture that treats clients fairly and focuses on the long-term sustainability of client relationships (to include in all JD’s)

Profile required


  1. Transaction reporting (MIFID II) experience. Other reporting experiences are also encouraged
  2. Strong excel background (Vlookups, macros and data mining) preferred
  3. Excellent communication skills
  4. Ability to manage multiple tasks at the same time
  5. Strong understanding of financial products and operations processes preferred
  6. Understanding of regulatory reporting operating model preferred

Why join us

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.

Business insight

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 Société Générale, 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 identity.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 22000QC4
Entity: Kleinwort Hambros
Starting date: 2022/12/19
Publication date: 2022/09/20