Regulatory Reporting Risk Manager - FS Operations

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Regulatory Reporting Risk Manager required for the Transaction Regulation Reporting Operations team of our Glasgow based Financial Services based. The team appropriate diligence and governance over the Firm’s global transaction reporting obligations

As a Director in the team, you will support the Transaction Regulation Reporting team for Securities Financing.  This will involve:

  • Team Lead and coach for a team of four.
  • Supporting the monitoring of daily risk ensuring transactions are reported in line with the regulation
  • Providing oversight of internal and external exceptions and reconciliations versus the trade repository and counterparties
  • Reviewing commentary associated with the above and ensure a robust and transparent process is in place to manage risk and support escalation as required
  • Where required, reviewing and signing of UAT testing associated with issue remediation and in accordance with the agile structure
  • Actively reviewing, identifying, and raising improvement opportunities across the control framework
  • Ensuring a complete and accurate set of desktop procedures is maintained

About you

Coming from Financial Services or Consultancy within Operations, Risk & Controls or Internal Audit, you will understand good guardianship; particularly what a good control environment should look like. Strong analytical and problem-solving skills are key to this position. Although experiences in regulation reporting or understanding of product flow is advantageous, it is not essential as full training on process and product will be provided.  In addition…

  • You will be able to handle multiple work streams and prioritise effectively
  • You will be keen to develop and progress your career
  • You are aware of the long-term impact of regulatory environment and market changes on the business and can make plans where appropriate to adapt control processes and procedures
  • You can identify the right levels of control and measures required, building a strong yet flexible workflow
  • You actively ensure existence of mitigating controls and take personal responsibility for enhancing processes
  • You combine clear and appropriate escalation with suggestions on appropriate risk reduction strategies

Salary up to £57,000 + Bonus + Benefits.  For further information contact Stuart Ringland on (0141) 530 4333 or email

11 May 2022
Audit & Risk
Risk Management
up to £57,000 + Bonus + Group Benefits
0141 530 4333