Compliance & Operational Risk Analyst

Posted on Jun 11, 2019 by CV-Library

City of London, City and County of the City of London, United Kingdom
Call Center & Customer Service
Immediate Start
£280 - £320 Daily

Initially 6 months (12 – 18 month programme of work)

Job spec

This role is responsible for monitoring the organisations positions for the purpose of regulatory shareholder reporting in all EMEA jurisdictions, including, but not limited to, Large Shareholder Reporting (LSR), Takeover Panel Reporting (ToP), Short Selling (SS) Reporting in appropriate jurisdictions, and responses to issuer requests where applicable. In addition, the team is responsible for monitoring firm holdings against regulatory hard limits, e.g., in sensitive industries, for each jurisdiction. Failure to properly report or breaches of regulatory limits can lead to regulatory fines, sanctions, and loss of business opportunity.

Key Responsibilities:

* Perform daily monitoring and disclosure of positions held by the firm

* Take an active part in the sourcing and validation of data and functionality for the firm's new large shareholder and short selling databases.

* Close liaison with the Line of Business and Compliance officers to confirm positions and any other issues arising from the holding of stock in a timely manner.

* Prepare LSR, ToP, and SS disclosures as necessary.

* Liaise with compliance technology group on all matters of system enhancements.

* Engage in the analysis of new rules and regulations pertaining to the monitoring and reporting of holdings in equity as needed.

* Perform testing of shareholder reporting processes.

* Will interact regularly with individuals in all relevant lines of business, as well as work with counsel and Compliance


* Good knowledge of Financial Markets, Banking Industry and products.

* Demonstrate strong verbal and written communication skills.

* Previous experience of large shareholder reporting or significant exposure to equities products within a similar environment.

* The ability to work under pressure and within tight deadlines to a consistently high level of accuracy

* Show initiative and react quickly to changes in priorities with the ability to quickly learn new procedures.

* Strong technical skills ( i.e. Excel, MS Access and other similar applications) with experience in analysing, manipulating and reporting from large sets of structured data (e.g. books and records data)

* A clear and logical thought process with a propensity to question facts and data.


Candidates will ideally show evidence of the above in their CV in order to be considered.

Please be advised if you haven't heard from us within 48 hours then unfortunately your application has not been successful on this occasion, we may however keep your details on file for any suitable future vacancies and contact you accordingly.

Pontoon is an employment consultancy and operates as an equal opportunities employer

Reference: 210199897

Similar Jobs

Mechanical Plant Engineer - PPM & Reactive Maintenance

City and County of the City of London, United Kingdom

£17 - £20 Hourly

Infrastructure Team Leader

City of London, City and County of the City of London, United Kingdom

£40k - £45k Annual

Consultant Cloud Developer

City of London, City and County of the City of London, United Kingdom

Annual Salary

Professional Services Consultant

City and County of the City of London, United Kingdom

£50k - £60k Annual