Responsibilities:

• Supervision of regulatory reporting processes to ensure tight regulatory and Firm deadlines are met
• Review of key control activities undertaken and ensuring liquidity data and reporting is materially accurate prior to submission to the regulator.
• Timely issue resolution and escalation of issues as they arise.
• Being the key point of contact for Internal/External Audit queries, ensuring all compliance and regulatory requirements are met.

Typical skills set

• Transaction Reporting & Research and exposure to FCA
• Best Execution, Pre / Post Trade, Investor Protection

FCA Reporting

Internal Capital Adequacy and Risk Assessment (ICARA)