Regulatory Reporting Specialist - Wealth Management
Within this role you will be responsible for supporting the CASS & Regulatory Reporting Manager in all aspects of Regulatory Reporting for the Group
- 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.
- Maintaining and improving policies relating to CASS & Regulatory Reporting
- Maintaining and improving rule mapping relating to CASS & Regulatory Reporting
Primary Working Relationships
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
- Flexi holiday
- 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.