Regulatory Operations – Client Assets Analyst

The Operations division is a dynamic, multi-faceted organization that collaborates with all parts of the company to deliver banking, securities, and asset management services globally. It plays a crucial role in risk management and control, safeguarding the company's assets and reputation. Operations is instrumental in the launch of new products and the execution of trades, developing and managing the processes and controls that facilitate business flow.

Responsibilities and Qualifications

Your Role:

We are seeking a professional individual passionate about applying their financial market knowledge and eager to deepen their understanding of a vital sector in financial markets, particularly in the context of regulatory reform. This role offers an opportunity to make a significant impact in the regulatory reporting space, a field characterized by rapid change and high importance.

Our Team:

The Regulatory Operations team is a group of critical thinkers collaborating with various firm departments to conduct financial analytics and reporting, as well as data analytics and engineering. We ensure smooth business operations across global offices and uphold three core principles: client focus, process innovation, and risk management.

Responsibilities of our team include ensuring the company meets a broad range of non-financial regulatory reporting obligations, particularly in the EMEA region. This encompasses reporting and monitoring trade, transaction, and position information for various financial products and business lines, and ensuring compliance with FCA Client Assets regulations.

Key Responsibilities:

• Execute non-financial regulatory reporting, focusing on CASS (Client Assets Sourcebook).
• Analyze reporting exceptions, undertake remediation, and corrective actions in collaboration with Operations, Remediation, and Engineering teams.
• Manage daily Client money & Custody shortfalls for EMEA Client Assets entities.
• Handle CASS breach management, remediation, and reporting to FCA.
• Ensure effective design and operation of Client Assets procedures.
• Facilitate Monthly Client Money and Asset Return (CMAR) reporting to the FCA.
• Liaise with CASS community teams on daily calculations and manage escalations.
• Stay updated on Client Assets rules and ensure adherence.
• Implement operational changes due to rule modifications.
• Support projects/business initiatives impacting Client Assets obligations.
• Develop and utilize Business Intelligence skills in daily processes and long-term projects.
• Collaborate across multiple business lines and stakeholder groups for strategic initiatives.

Skills and Experience:

Basic Qualifications:

• Bachelor’s degree with at least 2 years of experience in financial services.
• Strong analytical skills, attention to detail, and understanding of complex workflows.
• Effective communication skills for issue articulation and escalation.
• Good interpersonal skills for building relationships within and outside of Operations.
• Self-motivated, proactive, organized, and capable of managing competing priorities under pressure.

Preferred Qualifications:

• Basic understanding of the financial markets regulatory landscape.
• Knowledge of financial markets, products (e.g., equities, fixed income, derivatives), and associated processes.
• Interest in data analysis, process automation, and BI tools.