- Submit timely and accurate reports to global regulatory authorities (e.g., SEC Form PF, SEC Schedule 13, FCA Gabriel reporting).
- Develop and maintain regulatory reporting procedures and documentation.
- Monitor reports for exceptions and perform root-cause analysis.
- Collaborate with Compliance, Risk, Finance, and Technology teams on regulatory changes.
- Manage European transaction reporting ARM and reconcile with FCA MDP portal.
- Ensure accurate shareholder threshold disclosures.
- Support MiFID and PRIIPs reporting (e.g., EMT, EPT).
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1st Line Compliance Officer - London, United Kingdom - Venn Group
Description
The Compliance Officer is responsible for preparing and submitting mandatory reports to clients and regulatory authorities across various jurisdictions. This role includes making statutory disclosures, establishing a strong control environment, and updating processes based on regulatory changes.Key Responsibilities:
Qualifications:
This role requires a detail-oriented and proactive individual with strong organizational skills and the ability to manage multiple priorities in a dynamic environment.
The ideal candidate will have a solid understanding of regulatory requirements and be adept at collaborating across various departments to ensure compliance and accurate reporting.
To discuss further, please contact the Financial Services team ayt Venn Group.