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Regulatory Reporting Specialist - Wealth Management

Job Introduction

Within this role you will be responsible for supporting the CASS & Regulatory Reporting Manager in all aspects of Regulatory Reporting for the Group

Role Responsibility


Process Management

  • Ensuring ISA processes are compliant with HMRC regulations
  • Completing and submitting all annual ISA returns to HMRC
  • Process annual FATCA return
  • Provide ongoing support to FATCA reporting officer
  • Monitor status of BM Regulatory reporting.
  • Assist in resolution of reporting issues identified, working with Business Support in order to propose, test and implement resolutions.
  • Prepare monthly Management Information of Regulatory Reporting.
  • Assist in identifying operational risks relating to regulatory reporting proactively and mitigating appropriately.
  • Undertake regular reviews of the reporting, identifying, investigating and working with the appropriate persons to correct issues in the reporting.
  • CASS Management Information (MI) preparation and distribution
  • Assist in the Rule mapping reviews as part of the our CASS Control Matrix
  • Providing administration support to the CF10a in the delivery of CASS enhancement programme e.g. CASS Control Framework, Breach management, MI development.
  • Partner with first line of defence functions to establish action plans to enhance control design and operating effectiveness
  • Escalation of issues to Line Manager when appropriate.

Process Development

  • Maintaining and improving policies relating to CASS & Regulatory Reporting
  • Maintaining and improving rule mapping relating to CASS & Regulatory Reporting

Primary Working Relationships

  • HMRC
  • TISA
  • Unavista

The Ideal Candidate

Skills required to undertake the role:

  • MS Office (With a good level of Excel experience).
  • Figaro experience preferred.
  • UnaVista experience preferred.
  • In depth ISA knowledge
  • Relevant industry and client money environment experience
  • Working knowledge of CASS Regulations and their implications to the firm
  • Work within set SLAs set by internal departments


  • Good communication skills
  • Strong team working ethic
  • Accuracy and attention to detail.
  • Confident / positive attitude
  • Ability to work under pressure and to tight deadlines within set SLA’s
  • Focus on delivering internal and external customer satisfaction
  • A team player with a high level of commitment

Package Description

  • Flexi holiday 
  • Pension
  • Life Assurance (4 x salary)
  • Health Care

About the Company

SS&C provides software and software-enabled services for the global financial services industry. Through a combination of organic innovation and strategic acquisitions, we have assembled a comprehensive selection of technology and service capabilities, backed by industry-leading expertise. Since 1995, SS&C has acquired 51 businesses with products, services and/or technologies in existing or complementary vertical markets. Acquisitions include GlobeOp, Advent Software, Citi Alternative Investor Services, Wells Fargo Global Fund Services and DST Systems.

SS&C has more than 24,000 employees worldwide.  Our head office is located in Windsor, Connecticut with offices throughout North America, Europe, Asia Pacific and Australia. SS&C provides the global financial services industry with a broad range of highly specialized software, software enabled-services and software as a service (SaaS) solutions for operational excellence.  

SS&C is the leading independent provider of cloud-based fund administration services and software for the alternative investment industry, including hedge funds, fund of funds, private equity funds and managed accounts.



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