Transaction Reporting Specialist

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Transaction Reporting Specialist

Location: London (Hybrid)

Salary: Competitive


Transaction Reporting Specialist – Hybrid – London

Job Description:

The role entails the daily support for all aspects of MiFID II Transaction Reporting. You will be responsible for ensuring the completeness, accuracy and timeliness of transactions reports in line with regulatory requirements. Responsibilities will also include a range of static data set up and maintenance along with ad hoc project work and provide support across other areas of the team where required.

Main Responsibilities:

▪ Ensure completeness, accuracy and timeliness of MiFID II transaction reporting

▪ Monitor daily transaction and execution quality reporting, ensuring failed and exception reports are investigated, actioned and completed in line with regulatory requirements

▪ Work with Custodian to ensure transaction reporting process runs as efficiently as possible

▪ Work with vendor as required to ensure the execution quality monitoring is effective

▪ Identify, develop and implement an effective control framework to manage risk & mitigate errors

▪ Coordination of information flow between all relevant internal business areas and all external parties involved

▪ Quality control of transaction reporting

▪ Develop and maintain strong working relationships with all parties involved

▪ Develop mechanism for recording execution quality exceptions liaising with dealers for details

▪ Ensure all issues are logged and tracked through to resolution

▪ Contribute to identifying areas for improvement

▪ Deliver timely & accurate MI to Operations & Compliance management

▪ Maintain & enhance current governance structure & documentation

▪ Assist with the implementation and ongoing third-party end to end reconciliation and accuracy testing service

▪ Provide technical advice and help resolve all escalated complex problems raised both internally and externally, ensuring they are fully resolved in a timely manner

▪ Monitoring, reconciliation and reporting of internal FX positions


▪ Ensure robust department procedures are written, reviewed and maintained

▪ Monitor group email inboxes and ensure queries are responded to within our agreed service level

▪ Train new starters and less experienced team members

▪ Ensure all daily, weekly and monthly tasks are completed accurately and on time

▪ Keep team KPI’s up to date and ensure targets are met

▪ Keep abreast of industry standards, knowledge and regulatory change

▪ General data review and tidy up as problems or inconsistencies are identified

July 2023

▪ Ad hoc projects and other duties as assigned

Specialist/Technical Knowledge:

▪ Familiar with ESMA Transaction Reporting Guidelines, MiFID II

▪ Good knowledge of retail financial services, investment management or stockbroking operations

▪ Excellent reconciliations experience

▪ Understanding of Nominees/Dividends

▪ Global Corporate Actions

▪ Taxation and banking procedures

▪ Knowledge of GIA/ISA/SIPP & OPB products

▪ Understanding of different security types, collective funds, equities, fixed interest, ETF’s

▪ Excellent knowledge of Microsoft packages, especially Word & Excel

▪ Industry exams an advantage

▪ Knowledge of Pershing (UK) operations, systems and policies is an advantage


▪ Ensure our Service 1st culture is adhered to and maintained at all times

▪ Desire to be involved with all aspects of the business taking a hands-on approach

▪ Ability to expand and grow with the business

▪ Able to work effectively, both independently and as part of a team

▪ Demonstrates a positive attitude reflected in day to day conduct

▪ Able to provide pragmatic advice

▪ Uses initiative and applies knowledge acquired to problem solving

▪ Ability to work under pressure and to deadlines

▪ Quality orientated. Pays attention to detail

▪ Good interpersonal and communication skills (verbal and written)

▪ Sound organisational and time management skills with the ability to multi-task

Further Information:

This company honours, values and respects the uniqueness, experiences, and backgrounds of all their Associates. When associates bring their best authentic self to work, they believe their organisation, clients, and communities thrive. This is a key part of their people-first culture. The Company is an equal opportunities employer and makes all employment decisions on the basis of merit and business needs.

Recruiter: Holly Darnborough


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